disputes, (2) policy and arrangements of the company to reveal its concerns with impacts on society, the environment and relevant parties; such as equitable treatment of employees and consumer responsibility
Association of Investment Management Companies (AIMC) that ?the SEC facilitates conductive environment for asset management companies? higher competitiveness. Regulations governing fund establishment and
Bangkok, November 14, 2014 ? The SEC revised the criteria for Turnover List preparation to better reflect current market environment. On December 4, 2014, the first Turnover List prepared under the
transferred the total payment of approximately 2.95 million baht into the accounts of Mr. Niwat Maenim, Mr. Sutin Promthong and North Environment Co., Ltd. (NE). NE is deemed under control of Mr. Bhusana and Mr
SEC’s website at www.sec.or.th and SEC Check First application. Additionally, the list of individuals or entities not regulated by the SEC is available at the Investor Alert Section on the SEC’s website
of licensed business operators is available at https://www.sec.or.th and the SEC Check First application. Additionally, the names of persons who are not regulated business operators under the SEC’s
development of all-sector participation, both public and private. The cooperation under the MOAs includes monitoring and oversight of listed companies, issuing companies and regulated agencies under the SEC
SEC has regulated regarding the method of Know Your Client (“KYC”) for securities and derivatives business operators through the use of principle-based regulations due to the fact that business
financial institution regulated by the SEC, audit firm with the SEC approved auditor and the Stock Exchange of Thailand (SET) or its subsidiary whose shares are held by the SET at least 75%, business operator