reporting and audit oversight 2. Auditor Supervision The SEC has put its continuing effort on auditor supervision as the auditor's role of independent professional is fundamental to investor
person against whom the complaint is filed, i.e., full name, mailing address, phone number of intermediary / listed company/ person(s) under the SEC supervision; 4. Details of the complaint ( Please
: Detail Content SEC Help Center Matters under the SEC Responsibility SEC Help Center can assist you with matters under its supervision in accordance with the governing laws . Conducts liable to the
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
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supervision under the authority of multiple agencies as seen in the following areas: Securities trading The Ministry of Finance had the power to regulate securities trading on the Stock Exchange of
committee has been established in 2013 with mandates to conduct IOSCO’s policy work on retail investor education and financial literacy, and to advise the IOSCO Board on emerging retail investor protection
capital increase may cause a dilution effect on shareholders. Therefore, supervision of the program must also take into account the protection of investors. Regulatory Suumary The criteria for approving
/ Investment Analyst Appplication Process Regulatory Summary Related Rules and Regulations SHARE : For More Information ContactUs Investment Management Supervision Department Tel. +66-2263-6076
/ Investment Analyst Appplication Process Regulatory Summary Related Rules and Regulations SHARE : For More Information ContactUs Investment Management Supervision Department Tel. +66-2263-6076