Exemption for Preparation and Disclosure of Securities Holding of Executives of Financial Institution Closed by the Financial Institution Reform Committee Order

Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter    Executives of securities companies and personnel in securities business |- Approval and

Definition of “Executives” under Chapter 3/1 of the Securities and Exchange Act B.E. 2535 (1992) as Amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008)

-supervision system for executive asset management that was insufficient to prevent conflicts of interest. Specifically, Bualuang Securities issued internal approvals exempting six executives from the firm’s

Printable Format - Laws and Regulations Limited BDU |- Licensing |- Registered Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel

Professor Pornanong Budsaratragoon, Ph.D., Secretary-General of the Securities and Exchange Commission (SEC), along with SEC executives, met with Professor Dr. Surakiart Sathienthai, Advisory Vice

The Securities and Exchange Commission (SEC), led by Mr. Wiboon Phatrapiboon, Assistant Secretary-General, welcomed executives and officers from the Office of Insurance Commission (OIC) to a

The Securities and Exchange Commission (SEC), led by Secretary-General Pornanong Budsaratragoon along with executives, and the Association of Securities Companies (ASCO), led by Chairman Pichet

equity analysis and preparation of analyst reports. Executives and experts share their views and practical experience on the matters with participants from securities industry including executives

Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), along with SEC executives and staff, participated in a merit-making ceremony on the occasion of