qualifications, or b. foreign auditors violate the professional code of ethics or international auditing standards, and the violations lead to negative effect to the overall reliability of the Thai Capital Market
violate the professional code of ethics or international auditing standards, and the violations lead to negative effect to the overall reliability of the Thai Capital Market. Normal 1. Qualification of
entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the Thai capital market. Thus, the SEC has always put its best effort to supervise and improve quality
mission to develop and supervise the Thai capital market to ensure efficiency, fairness, transparency, and integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure
reporting disclosed to the public. The SEC requires the auditor in the capital market to attach to the audit firm equipped with audit quality control system. These efforts will support the Thai capital market
management of the mutual fund may have an impact upon the credibility of the Thai capital market. (4) The management of the mutual fund may cause damage or unfair treatment to the investors. (5) The operation
management of the mutual fund may have an impact upon the credibility of the Thai capital market. (4) The management of the mutual fund may cause damage or unfair treatment to the investors. (5) The operation
establishing a trust, to filing an application with the SEC for approval of an offer for sale of units of the trust, and to managing the trust. Regulatory Summary Qualifications Main duties of a Trust
. Regulatory Summary Main Duties of a Trustee Ensure that the trust deed is executed in compliance with the laws Appoint a trust manager Prepare a trust property account in separation from any other accounts
an independent director) Trustee's duties A trustee shall have a trustee license and is independent from a trust manager. A trustee's main duties are to: oversee that the trust instrument is