characteristics in Group 3 under Clause 31, the SEC Office may either suspend or revoke the approval as deemed suitable for such case. Clause 34 In case a person who is personnel in the capital market business and

investment schemes established under the Act on Undertaking of Finance Business, Securities Business and Credit Foncier Businesses; (4) Credit foncier companies; (5) Insurance companies; (6) Juristic persons

Banks; (2) Financial companies; (3) Securities companies which purchase investment units for proprietary trading, managing for private funds, or for management of investment schemes established under the

) ………………………………………………………… Location of head office ……………………………………………………………… …………………………………………………………………..…………………… Telephone number …………………….. Facsimile number ……………………….. Part 2: Category of an applicant □ A commercial bank under the

□ A commercial bank under the law on commercial bank business(CB); □ A finance company under the law on undertaking of finance business, securities business and credit foncier business(FC,FSC); □ A

sustainability goal, and the promotion of long-term savings to support the aging society, an important goal under the National Strategy.  The key takeaway from this meeting is that the SEC will provide policy

records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC

client due diligence ? e.g., clients? investment objectives, personal conditions and risk tolerance ? before giving advice, attached with supporting reasons, on suitable funds for their investment. In

.                                                                                             _____________________________* Clause 23(2) and the prohibited characteristics of capital market personnel under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on

suitable sources for new businesses with high growth potential is private equity (PE),? said SEC Secretary-General Vorapol Socatiyanurak at today?s seminar on ?Private Equity: Business Alliances for Business