List of Approved persons / Licensees Please wait... List of Approved persons / Licensees Name - Surname Mr. SEAN GORDON COMEAU Approval Type of approval Effective date Expiry date No records to
List of Approved persons / Licensees Please wait... List of Approved persons / Licensees Name - Surname Mr. YASUAKI TANAKA Approval Type of approval Effective date Expiry date No records to display
year to September 1st to the last business day of each year. This is to provide greater flexibility for business operators and capital market business personnel in applying for an approval renewal
results Sort by: Relevance Date (Newest) Date (Oldest) SEC adds “ digital asset investment advisor” and “ digital asset fund manager” as new regulated businesses and amends regulations on supervision of
the SEC and the exploration of applying these guidelines to enhance the OIC’s technology risk control supervision over regulated business operators. The event took place on 26 June 2024 at the SEC
Disclosure Business News ( 10 record(s) found) Date Time Heading Link 20/12/2022 17:02 Approval of connected transactions 09/08/2022 17:03 Approval of Real estate rental transactions for a period not longer
licensed or regulated by the SEC Thailand : Asset Management Company Licensed Bank/ Financial Institution Licensed Securities Company Licensed Institution/ Corporation/ Organisation (e.g. insurance company
CIS. CIS in Thailand is set up as a legal entity separate from the CIS Operator. In short, after obtaining approval from the SEC Thailand to set up a mutual fund and offer investment units to investors
| - |- Approval & Qualifications (Section 103, 104) |- Auditors |- Reporting Requirements |- Fees |- Related Circular Letter IP/FG |- Appoint/Approval/Code of conducts and Standard Practices |- Reporting |- Fees
operating securities business | - |- Registration |- Net Liquid Capital Rule (Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders | - |- Approval