against {X1} Company Limited and strictly instructed the company to improve its compliance with the oversight regulations.The company's offense was liable to violation of Section 113 of the Securities and
/2553 Re: Approval of Auditors in the Capital Market Whereas Section 61, Section 89, Section 106, Section 199 and Section 217 of the Securities and Exchange Act B.E. 2535 (1992), and Section 140 of the
translation is strictly for reference. 3 Notification of the Office of the Securities and Exchange Commission No. Sor Lor Thor. 8/2557 Re: Approval of Personnel in the Capital Market Business
translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Lor Thor. 8/2557 Re: Approval of Personnel in the Capital Market Business ___________________
Search The Securities and Exchange Commission, Thailand About Us Our Roles Our Structure SEC Board Capital Market Supervisory Board SEC Executives Organization Chart
>> Advertising Type Title Section See Document Status Notified Date Effective Date 1. Act Securities and Exchange Act 2535 98 12/03/1992 16/05/1992 2. Notification of Capital Market Supervisory Board
should be verified; 1.2 Roles and responsibilities of high-level management Objective The management company is a vehicle which raises funds from retail investor to invest in capital market, therefore it
capital market, therefore it conducts a business placed with trust and accountability from the client who is the owner of money. Consequently, the management should have essential role in prescribing
Administrative Procedure under the Derivatives Act B.E. 2546 and Trust for Transactions in the Capital Market Act B.E. 2550 (No. 2)