to improve their supervision and surveillance capabilities. This training will ensure the Thai market remains even with international counterparts; with a primary goal of preventing negative impact on
at www.sec.or.th and via SEC Check First application, while a list of unauthorized individuals outside the SEC supervision is also available at Investor Alert on the SEC website via https
securities business in the category of securities brokerage, shall apply only to the securities brokerage outside the Stock Exchange of Thailand. Clause 3/1.6 For the purpose of supervision the undertaking of
/1.6 For the purpose of supervision the undertaking of securities brokerage of securities company, the term “personnel” and “employee” under this Notification shall also include any person who is
of securities brokerage, shall apply only to the securities brokerage outside the Stock Exchange of Thailand. Clause 3/1. For the purpose of supervision the undertaking of securities brokerage of
Commission SorThor/Nor. 34/2547 Re: Operational Control and Information Technology Security of Securities Companies 20/07/2004 01/02/2005 2. Notification of the Office of the Securities and Exchange