test to make sure that the clients understand their own risk profile and receive appropriate investment advice before making an investment or a transaction. Clear and comprehensive disclosure of
to understand the risks of bonds and up-to-date information before their investment, as well as to make information become easier to access. Therefore, SEC has improved the supervision guideline on
implementation with company boards of directors, executives and major shareholders. Institutional investors will be a key driver to promote such implementation, while supervision of financial advisors will be
believes that this Statement of Intent will aid the public and all capital market stakeholders to understand the SEC’s role and operations, and promote confident participants of the capital market. 2. Vision
In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management
: For More Information ContactUs Investment Management Supervision Department Tel. +66-2263-6076 Intermediaries Supervision Department Tel. +66-2263-6536 Was this page helpful? Yes No Comment
it serves? If yes, Please describe the policies and procedures. How does the firm ensure that all audit staffs are aware of and understand the firm’s audit manual and perform audit work in accordance
: Website: Contact person: Email: CIS operator is under the supervision of: Name of local representative: Contact person: Email: Name of local intermediary: Contact person: Email: Warnings: An investor
Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted
the Notification of the SEC Office regarding Approval of Auditors; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I