financial institution which is under the supervision of other organization and later obtain license to undertake securities business; (b) Any juristic person established under foreign laws which is permitted
. Pakorn Peetathawatchat, SET President revealed: “The SET did not stand by, but took every step to make sure that investors obtain accurate and adequate information in a timely manner, e.g., following up
category of securities brokerage, securities dealing, investment advisory services, securities underwriting, but shall not include a financial institution under other law and later obtain a license to
being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work operation, unless obtain a waiver
authorized to make decisions on company’s business operation on behalf of the board of directors; (5) “Department director” means any person who is responsible for the internal operation of a department in the
) “Department director” means any person who is responsible for the internal operation of a department in the company. Clause 2. A securities company may appoint or allow another securities company’s executive to
megatrends and took into consideration views of stakeholders in all areas. SEC also aims to address the national issues and truly serve the needs of all target groups. In terms of internal excellence, SEC is
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