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
Doing Business, currently known as the Business Enabling Environment (BEE) project. The BEE project is expected to introduce new approach for assessing the business and investment climates from the
registrar under the Public Limited Companies Act B.E. 2521 (1978). The SET, meanwhile, oversaw the offering for sale of shares and debentures of limited companies that were under consideration for becoming
reputations, divided into two areas as follows: Staff Code of Ethics consists of guidelines for handling conflicts of interest, for example, prohibiting staff from trading stocks or accepting assets or
) International Forum of Independent Audit Regulators (IFIAR) ASEAN Audit Regulators Working Group Cooperation with Foreign Regulators Alternative Investment Fund Managers Directive (AIFMD) International
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Investment Trusts Experiences Chief Executive Officer, Association of Investment Management Companies (AIMC) Director of AIMC Member of TBMA Market Practice Committee Member of Capital Market
/derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g., investment consultants 1 and listed companies 2 ______________________________ 1 In case
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