appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.
Bangkok, April 10, 2014 ? The SEC is seeking public comment on relaxing a unit holding limit where any person or group of persons is allowed to hold not exceeding one-third of all units in a mutual
eliminating obstacles for issuing companies while maintaining proper protection and fairness in allotment of securities for investors. Also, rules on prevention of conflict of interest arising from securities
which case a special committee will be appointed to consider the case and conduct an investigation to ensure transparency and fairness. Complaint Against SEC Complaint / Inquiries SEC Complaint Form SEC
account costs and benefits of the proposed revisions and necessity to maintain fairness in the capital market.The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are
ever-growing asset management business by, for example, relaxing several requirements. In so doing, appropriate investor protection is maintained, and more investment choices promoted.? Such amendments
who are in Contact with Investors ● Mutual Fund Management Business ● Revision of Rules on Securities Underwriting ● Law Enforcement 52 GOAL 4 Preserve Market Fairness and Transparency, Understand
our duties in various areas will reflect our commitment to independence, transparency and fairness for all. This is how we build trust and confidence. Personally, I would be pleased and thankful for
work for audit firms having quality assurance system in compliance with professional standards, the SEC regularly inspects the firm?s audit quality to uphold market fairness, ensure proper investor