. Regulatory Summary Main Duties of a Trustee Ensure that the trust deed is executed in compliance with the laws Appoint a trust manager Prepare a trust property account in separation from any other accounts
of financial report to ensure that public disclosure of financial report is accurate, transparent, useful to the investors and prepared in compliance with international standards. In so doing, the
mission to develop and supervise the Thai capital market to ensure efficiency, fairness, transparency, and integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure
especially those in connection with listed companies and intermediaries such as securities houses have been known to have gigantic impacts even on the global market. To ensure the financial statements of those
Management of Mutual Fund 1. Authority of the SEC To ensure that the management of a mutual fund is in accordance with the policy or the supervisory rules in effect at the time or to ensure the interest of
Management of Mutual Fund 1. Authority of the SEC To ensure that the management of a mutual fund is in accordance with the policy or the supervisory rules in effect at the time or to ensure the interest of
to ensure their correct understanding and implementation of the new notifications Acts and Royal Enactments Ministerial Notifications Rule Making Process Regulations Ministerial Regulations Regulations
least 0.5% of the correct value or price); (2) Take any actions to ensure that the investors are informed the names of the mutual fund and the day of which the price correction is made. Authority of
least 0.5% of the correct value or price); (2) Take any actions to ensure that the investors are informed the names of the mutual fund and the day of which the price correction is made. Authority of
Financial Advisor (FA) has a crucial role in selecting and screening qualities of companies to be listed in the Stock Exchange of Thailand. An FA is obligated to ensure that the companies disclose thorough