” means a securities business operator or a derivatives business operators, but not including a business operator which is a commercial bank under the law on financial institution, a life insurance company
investors: (1) Bank of Thailand; (2) commercial bank; (3) bank established under specific law; (4) finance company; (5) credit foncier; (6) securities company; (7) non-life insurance company; (8) life
Thailand; (2) commercial bank; (3) bank established under specific law; (4) finance company; (5) credit foncier; (6) securities company; 2 (7) non-life insurance company; (8) life insurance company; (9
insurance company; (8) life insurance company; (9) mutual fund; (10) private fund managed by a securities company for the investment of ultra-high net worth investors, high net worth investors or investors
their study visit. This visit featured a knowledge-sharing session on the SEC’s role in capital market regulation, including asset offering and supervision of equity, bonds, and digital assets. The
to incorporate ESG into their business for sustainability and disclose ESG-related activities. To do so, we organise knowledge sharing sessions, provide handbooks and guidelines, and carry out
institution, insurance, construction, digital assets) obtain/maintain the required specialist knowledge? Does the firm have special training/or tailor-made programs for specific client industries? 15 Do the
ปลอดภัยของข้อมูล (data security) (5) การควบคุมการเข้าถึงข้อมูลและระบบ IT https://www.sec.or.th/TH/Documents/LawsandRegulations/securities-ITchecklist.xlsx QAQR-06.xlsx institution, insurance, construction
ได้ถึง https://market.sec.or.th/Documents/ca/Documents/esubmission_report_list_phase2.xlsx QAQR-06.xlsx institution, insurance, construction, digital assets) obtain/maintain the required specialist