operators, professionals, and listed companies, and become important tax units that create sizable revenue to the country. As the Thai capital market has been developed to become increasingly efficient and
organizational structure comprises three tiers of authority, namely: 1. The SEC Board responsible for policy-level regulations and oversight of market development; 2. The Capital Market Supervisory Board
that the organization structure of is designed or efficient measures installed to prevent conflicts of interests effectively. (2) Where the person appointed as a fund manager is an employee of the
that the organization structure of is designed or efficient measures installed to prevent conflicts of interests effectively. (2) Where the person appointed as a fund manager is an employee of the
reporting process, ensure the company has efficient internal control system, monitor the performance of the company to ensure compliance with the laws and regulations, review transaction that may have
achieve three core objectives of securities regulations: (1) protecting investors, (2) ensuring that markets are fair, efficient and transparent, and (3) reducing systemic risks. IOSCO Principles comprise
achieve three core objectives of securities regulations: (1) protecting investors, (2) ensuring that markets are fair, efficient and transparent, and (3) reducing systemic risks. IOSCO Principles comprise
group comprise independent audit regulators from four ASEAN jurisdictions, namely the Audit Oversight Board of Malaysia (AOB), the Accounting and Corporate Regulatory Authority of Singapore
> Management of Mutual Fund > Authority of the SEC Regulations SHARE : Detail Content Management of Mutual Fund 1. Authority of the SEC To ensure that the management of a mutual fund is in accordance with
> Management of Mutual Fund > Authority of the SEC Regulations SHARE : Detail Content Management of Mutual Fund 1. Authority of the SEC To ensure that the management of a mutual fund is in accordance with