), as well as the AMLO’s issuance of the Counter- Terrorism Financing Act B.E. 2556 (2013) and subsequent rules with details pursuant to both Acts for application to intermediaries. The SEC Office hereby
availability of PVD data, to prescribe a clear application process and document requirements for fund registration, to improve the duties of employers, the Provident Fund Committee (PC) and fund managers, and
soliciting entities are legally licensed or registered to provide services in the capital market at www.sec.or.th under the topic SEC Check First and SEC Check First mobile application. For inquiries or
behalf of the client. In this regard, Theera and Nongun?s actions were in violation of Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for
Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duties of Analyzing Investment and Giving
translation is strictly for reference. 9 Notification of the Capital Market Supervisory Board No. TorThor. 25/2556 Re: Outsourcing Operational Function relating to Business Operation to Third Party By virtue of
translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 25/2556 Re: Outsourcing Operational Function relating to Business Operation to Third Party By virtue of
) dated 13 July 2015. 2 Amended by the Notification of the Capital Market Supervisory Board No. Tor Jor. 43/2560 Re: Application for Approval and Granting of Approval for Offering of Newly Issued Shares (No
. Notification of the Capital Market Supervisory Board No. TorThor. 31/2556 Re: Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries