entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the Thai capital market. Thus, the SEC has always put its best effort to supervise and improve quality
of investor's confidence to securities business industry. Clause 7 Securities company having major shareholder with disqualified characters specified in Clause 4, shall, in writing, notify the SEC
SEC has revised rules on granting approval of auditors in its continuing efforts to enhance audit quality of financial statements of entities under the SEC oversight to ensure confidence on financial
benefit the executives. Criteria for consideration Contribution must be regularly made to the program in order to clearly indicate the number of shares to be purchased, without having to use internal
alternative. Investments through a mutual fund greatly benefit investors, especially retail investors, in that they can better diversify the investment risks, and receive professional services in monitoring and
alternative. Investments through a mutual fund greatly benefit investors, especially retail investors, in that they can better diversify the investment risks, and receive professional services in monitoring and
confidence in publicly disclosed corporate financial information. The Securities and Exchange Act of 1992 requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC
confidence and prevent recurrence of the problematic issue. In response to the said incidents, the International Organization of Securities Commissions (IOSCO) issued “Principle of Auditor Oversight," to its
growth of the company by providing opportunity for directors and employee to take part in the ownership of the business. Positive gains of the company will also benefit the shareholders. However, the
sanctions, namely: (1) a civil penalty; (2) a compensation at an equal amount to the benefit received or should have been received from committing an offence; (3) a suspension of securities or derivatives