approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and Exchange Commission, acting as the Capital
licensed securities business, except when an approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and
this opportunity to encourage the private sector to make more use of capital market for their fund raising and business expansion; thereby enlarging capital market role in developing the country?s
Search The Securities and Exchange Commission, Thailand About Us Our Roles Our Structure SEC Board Capital Market Supervisory Board SEC Executives Organization Chart
/2543 Re: Custody of Client Assets of a Securities Company (codified as of 28/03/2002) (Synopsis) 04/01/2000 01/04/2000 2. Notification of Capital Market Supervisory Board TorThor 9/2551 Custody of
Company 10/05/2011 01/06/2011 3. Notification of Capital Market Supervisory Board TorThor. 18/2553 Selling of Securities in Foreign Country by Securities Company Without Having Possession 27/04
Clause 30; (3) having a reasonable ground to believe that there is a materially inappropriate demeanor [i] affecting clients , investors , the company, shareholders as a whole, money market or capital
fund management, or derivatives investment management company; “fund” means mutual fund and private fund; “investor” means any person interested in investing in capital market products including