/scamalert. You can also verify service providers and authorized individuals under the SEC's supervision at www.sec.or.th/seccheckfirst or by installing the “SEC Check First” mobile application. For further
economic and financial system. Therefore, clear supervision of such activity is needed. However, technologies and digital assets that do not pose such risks should be supported with appropriate regulatory
) เพิ่มศักยภาพในการกำกับดูแลและบังคับใช้กฎหมายในตลาดทุนไทย (Effective supervision & enforcement) (7) ติดตามประเมินความเสี่ยงเชิงระบบได้อย่างเท่าทัน (Systemic risk) (8) สร้างกฎเกณฑ์ที่ไม่เป็นอุปสรรคและส่ง
in order to oversee a juristic person or business over which one has the management power or operates under one’s supervision. The acts of the three persons stated above constitutes a failure to
supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best
Exchange Commission Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds _____________ The supervision of
Commission Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds _____________ The supervision of securities
Approval Procedure on Issue and Program Basis ______________________ Clause 20 A company applying for an offer for sale of bonds shall file the application together with the registration statement to the SEC
: (a) By which procedure does the mutual fund offer and accept redemption of investment units? (b) In which case does the management company reserve the right not to offer investment units? (c) What
) whether or not the transaction has been carried out on an arm’s length basis; and (ii) the procedure undertaken or which will be undertaken to ensure that such transaction will be carried out on an arm’s