appoint a person to be personnel in the capital market business and an application for the extension of the approval shall be conforming to the form and procedure as provided on the website of the SEC
capital market products which are over-the-counter derivatives. Clause 5/3 4 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included
capital market products which are over-the-counter derivatives. Clause 5/34 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included
collective investment scheme established in the ASEAN region that is approved and under supervision of the home regulator that is a signatory to the Memorandum of Understanding Concerning Cooperation and
first bilateral memorandums of understanding designating multilateral cooperation for digital transformation of the Thai capital market in line with Thailand 4.0 Blueprint, on 27 May 2019 at the SEC
the SEC Office in accordance with the form and procedure provided on the electronic system of the SEC Office. Clause 5 In case the SEC Office deliberated that an applicant has correctly and completely
Connector and therefore tightened the relationship with our neighboring countries, aiming to grow together. Mekong Capital Market Cooperation (MCMC) has been established under a memorandum of understanding
assessment, however, raised a point of Thai judicial procedure whereby the cases that have reached court conclusion were significantly outnumbered by the SEC?s complaints. (3) Political and Legal Environment
understanding signed with the capital market regulators of Laos PDR., Cambodia and Vietnam for cooperation on capital market development where the signatories take turn to host the meeting. Among ASEAN nations