member jurisdictions, which emphasizes the independence from the accounting profession of regulatory body. The Principle was aimed at providing a guideline for IOSCO members to implement their supervisory
. Save and Close × Home > Laws/Regulations > Regulations > Enforcement Regulations SHARE : Detail Content Enforcement The SEC is a regulatory body that carries a
Association of Investment Management Companies Regulatory Summary The provisions under Trade Association Act B.E 2509 regarding the operation, control, dissolution and the penalty provisions are applied
the latest inspection result or report issued by all of the following parties (if any); - the audit oversight authority - professional body - network firm - firm's internal monitoring
inspection result or report issued by all of the following parties (if any); - the audit oversight authority - professional body - network firm - firm's internal monitoring Signature of the
market or whose application in the duration of being declined from the SEC consideration; (6) being named in a complaint by the SEC or financial institutions regulatory body or subject to any legal
information 2.1 Trade securities by using inside information (Section 242) Offender Person who knows or possesses inside information related to a securities issuing company Nature of the acts Purchase
information 2.1 Trade securities by using inside information (Section 242) Offender Person who knows or possesses inside information related to a securities issuing company Nature of the acts Purchase
the flexibility to trade the units of foreign ETF on the Thai stock exchange, just like stocks. Regulatory Summary Related Rules and Regulations Related Forms Regulatory Summary Required
meet the criteria specified in the SEC regulations to be listed on the Thai stock exchange and offered to investors in Thailand. This offers the investors the flexibility to trade the units of foreign