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) 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
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
(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
2033 9589 Mr. Anek Yooyuen e-mail : anek@sec.or.th Tel. : +66 2033 9624 Assistant Secretary - General Ms. Nataya Niyamanusorn Assistant Secretary-General (Investment Management ) e-mail
Graduate Institute of Business Administration of Chulalongkorn University B.A. (International Economics), Thammasat University CFA Institute Chartered Financial Analyst, awarded in 2000 and a current charter
/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