In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management
license or approval properly. The SEC lists of licensed and approved persons are available at www.sec.or.th and SEC Check First application. Also, the Investor Alert List of entities operating business
approval by the BOT to participate in the Programmable Payment Sandbox to provide services or proceed in the manner of MOP under the Sandbox; and (3) Revising the Cryptocurrency List
regulator of the recognized ACMF member will be exempted knowledge test on products and rules and regulations in the host country and subject to the specified scope of supervision, such as performance of
early 2019. The SEC will specifically participate in the efficiency assessment of securities regulation and supervision. In revising the rules on approval and disclosure of information by equity issuers
any person as a co-advertising producer, such person must be subject to supervision to comply with the relevant rules. On sales promotions, it must not persuade or urge investors to make investment
securities business, having obtained an approval to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of
(effective on 1 January 2018). 2 “association” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval
obtained an approval to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of which objectives is for
. Notification of the Office of the Securities and Exchange Commission No. Sor Shor. 39/2553 Re: Approval of Auditors in the Capital Market _________________________ Whereas Section 61, Section 89, Section 106