supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best
Exchange Commission Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds _____________ The supervision of
Commission Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds _____________ The supervision of securities
as follows; (1) Fast Track: auditors who a) are under supervision by an audit oversight authority that has same auditor oversight standard as that of the SEC, and b) have experience in auditing and
supervision and surveillance. In addition, all activities are subject to checks and balances as well as examination in a timely and appropriate manner. Another major mission that has become a national agenda
large part consistent with the SEC’s Strategic Plan and policy since the SEC is a major driver of the Master Plan. In this past year, the SEC has been active in imposing rigorous supervision/enforcement
Market and create confidence for investors, the SEC closely monitors and inspects individuals and entities under its supervision. To ensure investors have adequate protection and receive accurate and
Market Supervision Board No. 21/2551 RE Rules on Connected Transactions and the Notification of the Stock Exchange of Thailand re Disclosure of Information and Practice of Listed Companies Concerning the
of the Kingdom of Thailand so permit by virtue of law; The justification and necessity for the restriction of rights and liberties of a person under this Act is to ensure that the supervision of the
relating to derivatives contract, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function provides services for