with the saving parties who want to invest. This has effectively increased a diversity of alternatives in fund mobilizing and investments. The benefits of capital market are maximized through the
can be found at : https://www.iosco.org/about/?subsection=mmou • IOSCO Asia-Pacific Regional Committee (APRC) The SEC has been actively involved in the IOSCO APRC, which comprises 24 members
Business. Qualifications of each type of fund manager and market analyst can be found below; Types of Fund Manager Qualifications Fund Maneger (Thai Version Only) download PDF
found in various jurisdictions raised serious concerns among capital market regulators on the quality of financial statements and more stringent quality control on audit work has been imposed to regain
Committee or the SEC later found out that company's executive did not commit dishonest act as accused, will there be any action taken against the auditor, as it may ruin the reputation of the alleged
Committee or the SEC later found out that company's executive did not commit dishonest act as accused, will there be any action taken against the auditor, as it may ruin the reputation of the alleged
been found. (an exception case shall be specified). 4. Procedures for holding investment units over One-Third Limit Where any person or Associated Person hold investment units over one-third of the
been found. (an exception case shall be specified). 4. Procedures for holding investment units over One-Third Limit Where any person or Associated Person hold investment units over one-third of the
to close any regulatory gaps found deviated from the newly published IOSCO Principles (May 2017), and implementing recommendations from the previous assessment undertaken in 2008. The SEC participated
day that the incorrectness was found; and (2) prepare a report on the corrections of the past investment unit values to submit to the mutual fund supervisor and take any actions to inform the investors