and investment, in order to become quality investors and fundraisers. Investors will experience how to be quality investors, who are able to uphold the responsibility regarding their own finance and

in the appropriate means while offering a variety of products and services. Meanwhile, quality of investors must be emphasized. Last but definitely not least, it is very crucial to build up

businesses by providing their access to capital in the appropriate means while offering a variety of products and services. Meanwhile, quality of investors must be emphasized. Last but definitely not least, it

while offering a variety of products and services. Meanwhile, quality of investors must be emphasized. Last but definitely not least, it is very crucial to build up sustainability, uphold investor

convenient access to paying agents have been allowed to reach out the investors. Furthermore, new types of mutual funds permissible to invest in a variety of assets have been introduced; for example, mutual

operators and increase capital market product variety.   

code of ethics for SEC workforce in line with the intention of the Ethical Standards Act. The drafted code of ethics contains regulations which require the workforce to perform work and uphold ethics

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

) cooperation.AMBIF, an initiative of ASEAN Bond Market Forum (ABMF),  aims to boost product quantity and variety and the growth of bond market in ASEAN + 3 in response to demand of fundraisers and investors in the

testimony to competent officer - - 1 1 - - - - Failure to comply with the competent officer's order - - - - - - 1 2 Failure to uphold professional standards - - - - - - - - Grand Total 43 80 29 137 111 218 32