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(Mandatory Elements of the International Professional Practices Framework (“IPPF Mandatory Guidance”) ได้แก่ (ก) หลักการสำคัญสำหรับการปฏิบัติงานวิชาชีพการตรวจสอบภายใน (Core Principles for the Professional
formulated the SEC Strategic Plan for 2024 – 2026 to set the direction for the supervision and development of the Thai capital market in order to enhance confidence and sustainability within the nation. The
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
Consideration of Regulations on Supervision of Business and Market Intermediaries, Sales Conduct and Provision of Investment Advice Member of the Sub-committee on Consideration of Regulations on Issuance and
Supervision of Business and Market Intermediaries , Sales Conduct and Provision of Investment Advice Experiences Independent Director, Audit Committee Member, and Corporate Governance Committee Member
., investment consultants 1 and listed companies 2 ______________________________ 1 In case https://www.sec.or.th/EN/Pages/AboutUs/SECPeople.aspx English (United States) SECDoc Solicitation or advice on
information or advice by insurance broker ● Unable to claim insurance compensation Office of the Insurance Commission (OIC) Telephone: 1186 Website: www.oic.or.th ● Poor consumer product quality Office of
businesses and entities in the Thai capital market. Our services include provision of information and advice on matters under the SEC's purview. Complaints / Whistleblowers Inquiries / Suggestions
advice on matters under the SEC's purview. Complaints / Whistleblowers Inquiries / Suggestions Abritation For filing a complaint or sending an inquiry, please use any of the following channels (24