; whereas Section 60 of the Securities and Exchange Act (No.4) B.E. 2551 specifies the duty of the Securities and Exchange Commission as the Capital Market Supervisory Board, the SEC hence sets out the

the Constitution of the Kingdom of Thailand so permit by virtue of law, the Securities and Exchange Commission performs duty as the Capital Market Supervisory Board under Section 60 of the Securities

has the duty to maintain the capital under the Notification concerning Maintenance of Capital. “Notification concerning Maintenance of Capital” means the Notification of the Securities and Exchange

Notification of Capital Market Supervisory Board concerning Rules on Imposing the Duty of Intermediary to Handle Clients’ Complaints and Participating in the SEC Office’s Project to Resolve Disputes by

Notification of Capital Market Supervisory Board concerning Rules on Imposing the Duty of Intermediary to Handle Clients’ Complaints and Participating in the SEC Office’s Project to Resolve Disputes by

Notification of Capital Market Supervisory Board concerning Rules on Imposing the Duty of Intermediary to Handle Clients’ Complaints and Participating in the SEC Office’s Project to Resolve Disputes by

, for instance the compliance according to the Notification of Capital Market Supervisory Board concerning Rules on Imposing the Duty of Intermediary to Handle Clients’ Complaints and Participating in the

investment of mutual fund, private fund or derivatives investment management; “investment management assistant” means a person who performs the duty of assisting decision making to invest or trade capital

fund, private fund or derivatives investment management. “investment management assistant” means a person who performs the duty of assisting decision making to invest or trade capital market product and

investment of mutual fund, private fund or derivatives investment management; “investment management assistant” means a person who performs the duty of assisting decision making to invest or trade capital