information to the investors, representing the financial position and operating performance of the entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the
) assumes crucial roles starting from establishing a trust, to filing an application with the SEC for approval of an offer for sale of units of the trust, and to managing the trust. Regulatory Summary
assessments are crucial for the development of the financial sector in Thailand as they help to ensure alignment of regulatory frameworks and supervisions with the corresponding international standards. The
Professionals > Financial Advisor Regulations SHARE : Detail Content Financial Advisors A Financial Advisor (FA) has a crucial role in selecting and screening qualities of companies to be listed in the
: Annual Registration Statements (form 56-1) and Annual report (form 56-2) Important information that must be disclose are, such as, Risk factors Type of operation Capital structure Management structure
SEC is rather to ensure fair treatment and that investors have sufficient tools to protect their own rights. The SEC has used important measures in building confidence of investors as shareholders or
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remain constant, the mutual fund management company shall adjust the number of the investment units according to the changes in NAV or the investment unit values. Authority of the SEC Fund managers Mutual