Commission Notification Re: Approval of Auditors of Securities Companies and Finance and Securities Companies No. OrThor/Nor. 7/2541 _____________ Section 106 of the Securities and Exchange Act B.E. 2535 (1992

prescribed additional qualifications of principle valuers for transactions in capital market. The applicant intending to seek the SEC?s approval must pass the examination of Scholastic Management Aptitude

Bangkok, February 12, 2016 ? The SEC is seeking public comments on draft amendments to the principles and regulations on granting of approval for marketing agents of private funds (PF) and

. My immediate family member, including spouse (or equivalent) and dependent, and I are not director, management or agent of my audit clients and or its related entities. 3. I am not an officer or an

Bangkok, November 17, 2014 ?The SEC revoked the approval of Nakul Chaiyanil, a former fund manager for ten years for failure to perform his duty with honesty in relation to management of 101 Montri

Securities and Exchange Commission No. Sor Shor. 26/2558 Re: Rules, Conditions, and Procedure for Granting Approval of Trust Managers of Infrastructure Investment Trusts and Operating Standards

period for the applications for approval of the establishment and modification of SRI Funds, submitted during 1 January – 31 December 2024. This short-term measure aims to support asset management

Printable Format - Laws and Regulations Marketing |- Approval and Standards Practice |- Code of Conduct |- Fees |- Related Circular Letter    Bond Dealer and Underwriter |- Fees (section 14 and 19

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Commission governing rules, conditions and procedures for approval for private fund manager and private fund management of private fund manager; “Training institute” means Thailand Securities Institute or any