or public offering must be in compliance with the SEC regulations. In case of a social enterprise, a waiver of approval application and filing with SEC can only be granted if the offeror is a social

offering must be in compliance with the SEC regulations. In case of a social enterprise, a waiver of approval application and filing with SEC can only be granted if the offeror is a social enterprise

): ....................................................................................................................................................................................  Wish to apply for Company Account from the SEC Office in the following manners:  Not an urgent application (normal case)  An urgent application (a 30-day expiry from the SEC Office’s approval date

 Capital market professional. For example, financial advisor, asset appraiser, credit rating agency, trust manager, etc. 2  Institutional investor. Please specify the name of the intermediary / financial

 Capital market professional. For example, financial advisor, asset appraiser, credit rating agency, trust manager, etc. phanchul Typewriter [Input date] phanchul Typewriter [Fill in ALL latest applicant's

, the SEC Office shall request your consent. The SEC Office complies with appropriate security measures, for example, ISO27001 standards or NIST, etc. In case of any cross-border data transfer to another

securities investment consultants, had committed wrongful acts against clients at various branch offices as follows:                  (1)  In the case of Miss Surasa Mungthaworn, it was found that she had

and social development, the issuer must comply with an internationally recognized standard. For example: (a) Green Bond : ASEAN Green Bond Standards (ASEAN GBS) or International Capital Market

channel as a tool to evade or contravene the governing law and regulations (regulatory arbitrage) on the undertaking of investment management business,* which prescribe stricter supervision. For example, it

Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order