of the National Legislative Assembly functioning as... https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-secact.doc

to enable proper functioning of SOQM? 2 How does the firm manage the information system (including the use of paper-based and electronic forms) to ensure that it https://www.sec.or.th/TH/Documents

functioning as a capital market investment consultant ends on 31 December 2017, the suspension period shall end simultaneously. In addition, the SEC shall not accept his new application for approval as capital

Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on

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

The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department, in collaboration with the Fiscal Policy Office (FPO), the Deposit Protection Agency (DPA), and

students titled “Creating Understanding of Financial Management and Deposit Protection.” This initiative aimed to enhance the understanding of the SEC’s roles as well as financial planning and goal setting

to harmonize all regulations on foreign companies? share offerings and ensure that Thai investors have protection comparable to that under Thai law. In this regard, the foreign companies are required

, starting from 1 February 2018. In addition, since {B} is also a branch manager of the bank, she is prohibited from functioning as branch manager responsible for capital market business of any bank or

to collect, use or disclose personal information on the legal basis of public interest in accordance with Section 24(4), Paragraph 1(2) of Section 25, and Section 27 of the Personal Data Protection Act