derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law including the code
can monitor the guidelines for exercising the voting rights and the exercising of such rights by the management company; 6 (d) Does the mutual fund provide channels and procedures for the investors
revisions and will clarify the requirements of the revised regulations as well as providing guidelines for business operators accordingly. 4 “SEC Thailand is a recipient of Digital Government Awards 2020 and
guidelines for management of companies in the financial conglomerate including the securities company which submits a request for an exemption such as policy manual, procedure manual and compliance manual; (3
conglomerate; (2) Documents showing guidelines for management of companies in the financial conglomerate including the securities company which submits a request for an exemption such as policy manual, procedure
with the relevant guidelines, laws, and regulations. In case of any change to this Personal Data Protection Policy, the SEC Office will notify you by updating its website as soon as possible. This
requirements of the revised regulations as well as providing guidelines for business operators accordingly. For further information and inquiries, please contact Ms. Sireethorn Civilize, Assistant Director, at
to incorporate ESG into their business for sustainability and disclose ESG-related activities. To do so, we organise knowledge sharing sessions, provide handbooks and guidelines, and carry out