useful for investors’ decision making on a continuing and regular basis.”   This application fee reduction scheme for new auditors affiliated with audit firms in the capital market is the SEC’s New Year

allowed to contact and give investment advice to clients. The SEC has emphasized to all intermediaries to strictly instruct their investment consultants to obtain and compile sufficient information for

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August 2016 with respect to the procurement of adequate financial resources for covering risks and the detailed operation concerning the risk management. Clause 3 The derivatives clearing house shall

to have failed to maintain sufficient quality control system in accordance with the professional standards, which will raise the investor protection and creditability of Thai capital market to be in

? roles and duties, inspection and result evaluation, regular development of members? knowledge, and capability to generate sufficient returns on investment for members? well-being after retirement.In this

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appropriate knowledge and expertise, and that the information it uses in determining A-6 credit ratings is of sufficient quality and obtained from reliable sources to support a high quality credit rating. 1.4 A

persons shall be assigned to be responsible for the entire process of work in such a manner that may give him an opportunity to commit frauds. Clause 11 A securities company shall provide a sufficient