for self-regulation The ASCO was asked to submit its action plan for becoming a self-regulatory organization (SRO) for the SEC?s approval. The plan must emphasize the core objectives of self regulation

their objectives of safeguarding client benefits, enhance their trustworthiness, and maintain overall market integrity, but also reflect their self-discipline which would further reduce chances of law

the temporary extension of minimum fees expires. There will be no further extension or scale adjustment as the industry has already had sufficient preparation time; 2. Preparation for ASEAN Capital

involved;  Providing agencies with sufficient powers to regulate and monitor market behavior, * The participating Asian economies include: Bangladesh, China, Hong Kong China, India, Indonesia, Korea

professional training courses on a continuing basis, as stated in the SEC-approved curriculum of the Valuer Association of Thailand, to ensure sufficient self-development and knowledge improvement

accessibility to the capital market, including small and medium-sized enterprises (SMEs), to be at the standard level and self-reliance by utilizing various forms of accessibility to create ultimate efficiency

readiness of upcoming market competition among securities companies and yet allow sufficient time for self-preparation to expand business capabilities and diversification of revenue sources other than

are sufficient and correct before forwarding them to the Board of Directors for consideration. - Review the internal control system to oversee that the internal audit procedures are adequate

whether the code of conduct is complied: 1.3.1 Monitoring and assessment by an internal audit unit or a compliance unit; 1.3.2 Self -assessment by executives and employees; 1.3.3 Assessment by independent

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