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.
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
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
regulatory objectives include: to maintain and promote the fairness, efficiency, competitiveness, transparency and orderliness of the securities and futures industry; to help the public understand the
for promoting and maintaining security, credibility, transparency and fairness in derivatives trading, as follows: (1) procure a derivatives trading system capable of supporting expected trading volume
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
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
■ Revision of the Regulations Governing Provident Fund Management to Promote Transparency and Fairness Among Members ■ Promotion of Long-term Savings ■ Issuance of Non-Voting Depositary Receipt : NVDR