Investment Consultant/Investment Planner Regulatory Summary Types and Scope of Duties Qualifications Training Courses Training Courses for Migration (for IC and IP approved before 1 Janurary 2018
Investment Consultant/Investment Planner Regulatory Summary Types and Scope of Duties Qualifications Training Courses Training Courses for Migration (for IC and IP approved before 1 Janurary 2018
the efficiency of the Thai capital market system. The objective is to enable the business sector and market operators in the capital market to grow and expand their operations, while investors are
scheduled and conducted properly, with transparency and efficiency, and ensure inclusive and equitable treatment of all shareholders and their ability to exercise their rights. Principle 8.3 The
market will be developed towards greater efficiency, trustworthiness, gaining recognition and interests from investors and parties wishing to raise fund at an international level. Participating in
, efficiency and transparency. Systematic risks in the markets can be managed and contained within limits. Our Roles How We Regulate SEC Working Principles Our Policies Signatory of Investment Government Code
comply with applicable law and standards. Guidelines 6.1.1 The board should be aware of and understand the nature and scope of the company’s principal and substantial risks and should approve the risk
activities, yet the scope of SEC authority not covering risks and guarantees for losses from investment, nor compensations for damages incurred to investors in all cases. Other regulated regulators in the
responsibilities that go beyond the scope of auditor's work, as the International Standards of Auditing (ISA 240 - The Auditor's Responsibilities Relating to Fraud in an Audit of Financial Statements) has covered
responsibilities that go beyond the scope of auditor's work, as the International Standards of Auditing (ISA 240 - The Auditor's Responsibilities Relating to Fraud in an Audit of Financial Statements) has covered