market business personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Saowarat as an investment consultant for complex
Bangkok, 3 August 2023 – SEC has ordered a revocation of an investment consultant approval on Mr. Teerasak Tipboonsri for 10 years for failure to perform duties with loyalty, misappropriating
Capital Market Supervisory Board’s regulations.* Therefore, the SEC has revoked Sareerat’s approval as Investment Consultant for Complex Products Type 2** for 10 years. However, since her approval has
compromising appropriate investor protection and convenience for business operation.The SEC therefore proposes to amend the regulations related to granting of approval to appraisal companies and lead
will allow them to mobilize funds in accordance with their type and size. For example, issuers will not be required to submit documents for SEC’s approval before offerings of shares and convertible
135-1 Application for an Approval of Custodian of Private Funds 10. Report/Form (Notification of Securities and Exchange Commission) Checklist: Documents for an Approval for Custodian of Private Fund
regarding the proposal for shareholders’ approval of capital increase supporting documents to the SEC within 17 January 2024 and disclose the information through the SET Electronic Listed Companies
Commission No. SorDor. 46/2552 Re: Documents and Evidence for Applying for Approval of Regulations of Derivatives Exchange and Derivatives Clearing House ---------------------- By virtue of Section 14, Section
representatives Securities issuers and listed companies Stock Exchange of Thailand Derivatives exchange ë Set licensing and approval https://www.sec.or.th/EN/Documents/AnnualReport/pb_ar_2006.pdf Annual Report 2007
Derivatives exchange ë Set licensing and approval https://www.sec.or.th/EN/Documents/AnnualReport/pb_ar_2006.pdf Annual Report 2007 ) Publications "R2 Project" - an educational brochure on fundamental rights of