a person has committed a legal offense involves the investigative powers of the inquiry officer, the decision to prosecute by public prosecutors, and ultimately the judicial discretion of the court in
. The process of determining whether a person has committed a legal offense involves the investigative powers of the inquiry officer, the decision to prosecute by public prosecutors, and ultimately the
objectives of securities regulation in compliance with international standards. In addition, the SEC may disclose confidential information acquired by powers and duties performed under the Securities and
investors joined forces today comprising the Social Security Office (SSO), the Government Pension Fund (GPF), the Association of Investment Management Companies (AIMC), the Association of Thai Securities
ตั้งขึ้นเฉพาะกิจ เชน กองทุนเพื่อแกไขปญหาในระบบสถาบันการเงิน เปนตน 2 Principle 8 states that the regulator should have comprehensive inspection, investigation and surveillance powers. Principle 9
, transparent and efficient, market integrity is preserved and investors are protected. G. The Powers of the Competent Officer The Emergency Decree enhances the investigative powers of the competent officer to be
responsibilities and powers, and adequate funding that is not under the control of the auditing profession, to carry out those responsibilities. Reference : https://www.iosco.org/library/pubdocs/pdf/IOSCOPD134.pdf 3
Register of Members Investment Limit Investment Powers Conflict of Interest Unitization Borrowing from fund asset Report/Financial Statement Auditors Procedure for the default by Issuer Registrar