Printable Format - Laws and Regulations Limited BDU |- Licensing |- Registered Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel

& Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk

media campaign and featured through games and activities. In the picture: Mrs. Tosporn Vichienchai, SEC Assistant Director of the Capital Market Education Department, (third from left), joined the panel

Knowledge Center, from Monday-Friday during 9.00-12.00 hrs. and 13.00-16.00 hrs. The Center features nine knowledge and edutainment stations equipped with touchscreens, computer games, self-assessment and

, which would help the visitors assess their risk tolerance before choosing financial products accordingly.  Visitors are also welcome to participate in the SEC quiz games on the capital market and

Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter    Executives of securities companies and personnel in securities business |- Approval and

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such as games, counseling service, survey and instruction on Mobile App ?start-to-invest?. Those who download Mobile App ?start-to-invest? and show up at the booth will also be given a souvenir. The SEC

Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control | - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology

The SEC has reviewed the regulations concerning the SPO shares offering and the mai/SET listing requirements for LiVEx-listed companies to better accommodate small and medium-sized enterprises and