and Development Department and Securities Regulation Department3. Deputy Secretary-General Tipsuda Thavaramara runs Policy Division and Fund Raising Division. 3.1 Policy Division
undertake securities business; “Office” means the Office of the Securities and Exchange Commission. Clause 2. A securities company shall provide policy and regulation on operational control and information
Notification Requirements (section 109) OTC Securities Brokers (section 113) Conduct Regulation of Securities Broker-Dealers (section 113) Revocation of License (section 147) Service Outsourcing Guide for