domestic authorities to exchange information and discuss development and monitor systemic risks of Thailand's financial system. Such cooperation is conducted under three Regulators Working Groups, comprising
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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
Investment Trusts Experiences Chief Executive Officer, Association of Investment Management Companies (AIMC) Director of AIMC Member of TBMA Market Practice Committee Member of Capital Market
/derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g., investment consultants 1 and listed companies 2 ______________________________ 1 In case
accommodate fluctuations; and supported for development of professional standards. Investors Accessing to information and making investment decisions with confidence; being treated fairly in securities trading
income, subsidies from the Stock Exchange of Thailand, investment revenue and others. All criminal fines from offence cases under the law enforcement are to submit to the Ministry of Finance as revenue to
objectives for administration of the regulations and rules are as follows: Investors have access to information and make confident decisions on investment. The capital market is operated with fairness
holder CAIA Association Chartered Alternative Investment Analyst, awarded in 2011 and a current charter holder Current Appointment Deputy Secretary-General, SEC Experiences Securities and