supervision of investment management business; legal structure; and offering and sales of funds as well as the related disclosures that are material to the investors' decisions in trading units of funds. o
supervision of investment management business; legal structure; and offering and sales of funds as well as the related disclosures that are material to the investors' decisions in trading units of funds. o
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
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
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
) International Forum of Independent Audit Regulators (IFIAR) ASEAN Audit Regulators Working Group Cooperation with Foreign Regulators Alternative Investment Fund Managers Directive (AIFMD) International
will yield good returns and will effectively reinforce the SEC's financial stability Announcement of signatory Investment Governance Code (I Code)(Thai Version Only) Our Roles How We Regulate SEC
(ACMF) International Forum of Independent Audit Regulators (IFIAR) ASEAN Audit Regulators Working Group Memorandum of Understanding (MoU) Alternative Investment Fund Managers Directive (AIFMD
supervising securities businesses; 3. The SEC Office implementing policies, inspecting licensed/approved corporations and individuals, and developing financial products. Meanwhile, the Audit Committee