Implemented or above for 35 out of 37 Principles. Such notable progress can be summarized into three main groups: (1) New Principles for the SEC, (2) Principles with significant improvements, and (3) Principles
Implemented or above for 35 out of 37 Principles. Such notable progress can be summarized into three main groups: (1) New Principles for the SEC, (2) Principles with significant improvements, and (3) Principles
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
Minority Investors have shown a progress from the previous year. This is because, apart from the existing strict provisions on minority investors protection, more efforts are given to legal amendment to
Minority Investors have shown a progress from the previous year. This is because, apart from the existing strict provisions on minority investors protection, more efforts are given to legal amendment to
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
establishment, market development had concentrated more on the secondary market where trading of transferable securities was the main activity than the budding primary market where businesses issued securities
, 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
services problem Foreign currency/foreign currency transaction Financial Consumer Protection Center (FCC) The Bank of Thailand Telephone: 1213 Website: www.1213.or.th ● Trading signs of listed company
accommodate fluctuations; and supported for development of professional standards. Investors Accessing to information and making investment decisions with confidence; being treated fairly in securities trading