cases of corporate fraud; Supervising business operators to take care of investors with fair and reliability; Educating and warning investors to ensure they have sufficient knowledge for decision making
at both individual auditor level and firm level. In order to enhance quality and reliability of the financial disclosure system of the entities and auditors, the SEC has revised the rules on approval
category of mutual fund management shall be carried out by syndication of financial institution and other legal entities as specified in the Ministerial Regulation No.4 (B.E. 2535) promulgated under the
experience in reviewing the reliability of financial statements. Rights of Shareholders and Institutional Investors “Shareholders” are considered company’s owners who control the company indirectly by
and work systems to ensure orderliness, fairness, efficiency and reliability of market activities, and support appropriate fundraising, investment and securities trading to promote continuing growth of
experience in reviewing the reliability of financial statements. Rights of Shareholders and Institutional Investors “Shareholders” are considered company’s owners who control the company indirectly by
and work systems to ensure orderliness, fairness, efficiency and reliability of market activities, and support appropriate fundraising, investment and securities trading to promote continuing growth of
No. Title 2 Financial Institution Eligible to Apply for Securities Business License B.E. 2536 (amended by No. 16 No. 18) (Repealed) 3 Application for Separation of Finance and Securities
mutual fund supervisor of that fund) such as bank or financial institution incorporated under a specific law, commercial bank, finance company, securities company (broker/dealer/TSFC) or a foreign
mutual fund supervisor of that fund) such as bank or financial institution incorporated under a specific law, commercial bank, finance company, securities company (broker/dealer/TSFC) or a foreign