regulator also discussed with Association of Investment Management Companies (AIMC) and Sasin Graduate Institute of Business Administration of Chulalongkorn University (Sasin) on the review on AIMC guideline

business service as a channel for money laundering and terrorist financing such as requiring securities business operator (securities firms and asset management companies) to learn of client?s identity, a so

debentures. For newly established businesses with potential, venture capital will also be available.The idea has been well-received by Investment Banking Club, Association of Securities Companies, as they see

companies in the region, and the promotion of intra‑ASEAN cross‑border investment through instruments such as depositary receipts (DRs), cross‑listing, and exchange‑traded funds (ETFs), with a view to making

Notification on Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries, dated 9 February 2026.

executive at any issuing or listed companies for 1 year and functioning as capital market personnel for 3 years. SEC Act (before the fifth amendment) Section 241 and 241 Civil Action Dated 16/06/2017

from holding the position of director or executive at any issuing or listed companies for 2 years from 22 June 2018 to 21 June 2020. SEC Act (before the fifth amendment) Section 241 Civil Action

. Chamaiporn from holding the position of director or executive at any issuing or listed companies for 3 years from 1 September 2018 to 31 August 2021. SEC Act (before the fifth amendment) Section 241 Civil

500,000.00 Baht The SEC has banned Mr. Amit Prakash from holding the position of director or executive at any issuing or listed companies for 1 year from May 17, 2019. SEC Act (before the fifth

received funds from the sale of debentures and equity, there were transfers of funds from STARK and its subsidiaries to other companies or individuals related to financial statement manipulation. The acts