for normal situations, business operators must receive the SEC’s prior approval. Hence, business operators requested more clarity as to which operational systems are required and a streamlined process

are as follows: 1.     The companies required to meet the same qualifications and the requirement of information disclosure as the issuers are the affiliates that act as the central companies. The

appraisers for transactions in capital market in the following manners:                   (1)  Extending the approval period from 2 to 5 years. The lead appraiser, however, is still required to take

The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However

limited company or a listed company; (2) the required amount of a registered capital; (3) well-preparedness in work systems, financial status, control and good work practices; (4) no financial troubles

In addition to stricter professional standards, audit firms in the capital market are now required to comply with the International Standard on Quality Management (ISQM) 1 and ISQM 2, which have

management system suitable for business types and risk profiles. However, a stricter work system than legally required is welcome as well.? As a frontline compliance supervisor, intermediaries are also

connection, all business operators are required to place high importance and clearly communicate the information contained in their advertisements. The advertisement must not contain false, exaggerating or

additional investment to upgrade office building’s facilities. - Administration expenses increased due to additional headcount required for the succession plan. Extraordinary items included 15.2 million baht

: ............................ Remark : The applicant is required to notify the SEC Office in advance at least five business days before the opening of the representative office abroad.