all stakeholders to benefits from the capital market with confidence. The major groups of stakeholders and their expectations from the SEC are defined as follows: Stakeholders in the Capital Market
, supervise the capital market, for example, fund mobilization, products and services, related business operators, unfair securities trading activities in the capital market. The SEC revenue comprises fee
company/ person(s) under the SEC supervision; 4. Details of the complaint ( Please identify clearly ) , i.e., objective and details of the complaint, documents and other evidence, for instance, trading
Governance As an agency with missions for promoting, developing and supervising the capital market, the SEC strives to ensure transparency and credibility of our own operation as well as fairness to all
. Independent Director of Thai Bond Market Association Founder member of the Board of Directors of CP ALL Plc. (Former name CP Seven-Eleven Plc.) Founder member of the Board of Directors of Home Product Plc
/Pages/AboutUs/SECDoc.aspx English (United States) SECComplaint case of a complaint related to services of a securities or asset management company under the SEC supervision, first of all, the complainant
formulation of this strategic plan involved consideration of all important dimensions as follows:- Challenges and key trends impacting capital markets (Megatrends) Key priorities from strategic plans of capital
embrace changes and develops a sustainable capital market and economy for the benefit of all stakeholders " Our mission is : “To assure conducive environment for a fair, efficient, dynamic and inclusive
Documents of Eveidence 1 ● Unauthorized use of a trading account by investment consultant ● Damage caused by inappropriate advice or incomplete information given by investment consultant/unit seller. ● Full
systems that may cause damage to investment, fund management inconsistent with prospectus, and incorrect disclosure of information; Stock loss from a trading account, failure of investment consultants