mutual funds as an investment instrument for the benefit of the Thai capital market at large. Over time, the SEC and the AIMC have consistently worked together on various fronts, including industry
should be rigorous, capable of being applied consistently, and, where possible, result in credit ratings that can be subjected to some form of objective validation based on historical experience. 1.2
firms network in forming the Thai Capital Market Audit Firms Club (The Club). The SEC held meetings with the Club regularly and applied the received comments to the making of new projects. Many such
. They divided responsibilities for placing trading orders of FVC stocks, while coordinating and supporting one another consistently. This resulted in irregularity of the FVC share prices and trading
that affect it have changed. • Invest regularly and with discipline for long-term financial goals. • Recognise that the value of an investment may increase or decrease. • Recognise that making uninformed
trading transactions regularly. In case of doubtful authenthicity, investors should seek clarificatioin from the back office of such securities firm. It should be reminded also that money for trading
trading transactions regularly. In case of doubtful authenthicity, investors should seek clarificatioin from the back office of such securities firm. It should be reminded also that money for trading
make trading orders on his or her behalf, the investor must issue a written power of attorney and should examine the trading confirmation documents regularly. _____________________________ * Clause 23
. Investors should object to any trading activities that do not comply with their investment objectives and monitor regularly the ongoing record of their trading transactions sent to them by the responsible
asset management companies in charge, and to update their fund books (if any) regularly to prevent possible damage from frauds. ______________________ * Clause 23