responsible for the management of foreign collective investment scheme; “home regulator” means a regulator that has the authority to supervise foreign collective investment scheme or a CIS operator; “brokerage
and regulations. 3. Financial statements shall be prepared in accordance with the financial reporting standards that are acceptable to lead regulator and there shall be no expression of opinion that the
regulator(s) whether an investment is regulated/registered and how it is regulated/registered. • Check with financial regulator(s) whether the financial service provider/ intermediary is licensed/regulated
securities as listed securities on a foreign securities exchange or other exchanges under supervision of a regulator in foreign jurisdiction shall disclose a report on financial and non-financial information
: https://www.iosco2023thailand.com/________________________ About the SEC Thailand The Securities and Exchange Commission, Thailand is an independent regulator established according to the Securities and
) fund, which is managed by a person who has been named in a complaint filed by a foreign regulator on account of managing investment without approval. If approached with a solicitation to invest in
regulator of the recognized ACMF member will be exempted knowledge test on products and rules and regulations in the host country and subject to the specified scope of supervision, such as performance of
As a capital market regulator, the SEC is Thailand’s first governmental agency to have become an official supporter of the Task Force on Climate-related Financial Disclosure (TCFD) since 30th
Regulator)? และหน่วยงานอิสระของประเทศในกลุ่มอาเซียนที่ทำหน้าที่กำกับดูแลผู้สอบบัญชี (ASEAN Audit Regulators Group)? แล้ว ยังส่งผลให้ตลาดทุนไทยได้รับผลประเมินเกี่ยวกับบรรษัทภิบาลในระดับดีขึ้น? เนื่องจากข้อมูล
conservation. The SEC, as a capital market regulator, encourages the use of capital market products to support investments in projects that conserve or protect the environment, including the development of areas