operations involving supervision of market activities or monitoring of compliance with the stated laws, rules and regulations are generally managed within the SEC Office, except for licensing, which must be
through which the objectives of the company are set, and the means of attaining those objectives and monitoring performance are determined. The Principles do not intend to prejudice or second-guess the
, professional, business and investor associations opened up active channels to voice concerns, comments and suggestions regarding the issues of impacts on market participants and the capital market at large. Such
expects that this will contribute to the comprehensive utilization of capital market benefits. However, the SEC’s role does not involve preventing investor losses or ensuring compensation in the event such
highlight investor protection measures through our proposal of the draft Amendments to the SEA, which were approved by the National Legislative Assembly in December. We also put forward other legislations
Expansion of Investor Base and Distribution Channels Coupled with Promotion of Investment Culture ■ Additional Mutual Fund Management Licenses to Promote Professional Management in the Thai Capital Market
● Development of Debt Instrument Secondary Market Expansion of Investor Base and Distribution Channels for Investors and Promotion of Investment Culture ● Additional Mutual Fund Management Licenses in the Thai
SEC Search Search From : Home > Search > Search Results search: Public Information System Investor Alert ( 367 ) SEC_News ( 348 ) Enforcement ( 97 ) List of Approved persons / Licensees ( 40 ) Public
of Securities ( 156 ) SEC_News ( 86 ) Finanacial Statements ( 68 ) Derivative Warrant Prospectus ( 62 ) Form 59-1 / 59/2 ( 62 ) Result of Sale Reports - IPO ( 44 ) LegalHub ( 43 ) Investor Alert ( 28
SEC Search Search From : Home > Search > Search Results search: Public Information System Investor Alert ( 367 ) SEC_News ( 348 ) Enforcement ( 97 ) List of Approved persons / Licensees ( 40 ) Public