. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Securities and Exchange
responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the Securities and Exchange Commission No. SorNor. 33
Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
. Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
of the Securities and Exchange Commission No. Sor Thor. 37/2559. Re. Rules in Detail on Establishment of Information Technology System dated 12 September 2016 and Notification of the Office of the
must be made to the operations system, the accounting system, the database, and the internal control system. Training on accounting knowledge must be provided from the origin, in order to accommodate
of different intermediaries amid the fast changing industry and technological environments. Some of the first focuses of the principles-based supervision include company policy, compliance system, risk
Section 14 Securities and Exchange Act B.E. 2535 Section 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities