instrument and mutual fund. In addition, starting from July 1, 2012, the SEC will require person with duty to solicit and give advice on securities or derivatives to institutional investor be approved by the
six-year period starting from 25 October 2025 during which her applications for approval to be a capital market auditor will not be considered. Note:* Failure to comply with auditing standards
its revenue from providing mobile phone service during the subscribers protection period starting from its entering into the interim subscribers protection measure pursuant to the NBTC’s Notification on
, therefore, bars {D} from re-entry capital market business for two years and eight months, starting from 18 December 2020. During this period, {D} will not be able to perform duties as a branch manager or
ตลำดทุนทงัหมดและสร้ำงสภำพแวดลอ้ม ดิจิทลั ( digital ecosystem) การจดัให้มี https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/LawReform/RIA-TRUST.pdf PowerPoint Presentation . Supervision of Mutual
Capital Market Supervisory Board. SECTION 89/12 A https://www.sec.or.th/EN/Documents/ActandRoyalEnactment/Act/act-sea2008-no4.pdf PowerPoint Presentation . Supervision of Mutual Fund Management and Fund
order to Ensure Confidence of the Investing Public ● Supervision of Market Intermediaries - Securities Companies - Asset Management Companies - Inspection - Supervision of those https://www.sec.or.th/EN