development. The SEC urged TIA to consider the possibility to become independent investment advisory institute supporting Thai capital market development. The institute could be a center for investor education
Insurance Company/ Finance Institution Established Under Specific Law Particulars For the SEC Officer □ 1. Supporting documents for consideration under Clause 4 (1) : □ (1) Certificate from the organization
Clause 4 (1): □ (1) Certificate from the organization controlling its business by mean of maintaining capital adequacy and capital reserve as prescribed by related rules. Provided that, after submitting an
. Concurrently, the SEC continues its emphasis on investor education and protection activities.As for the Deterrence Measures, the SEC has been collaborating with relevant organizations such as the SET, the Thai
3 1 August, 2 0 1 7 considered and approved the disposition of the subsidiary is engaged in education related business. As a result, operating results for the three months ended the first quarter
include experience, for example, education, employment record, affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international
well as significant events after offering for sale of the aforesaid financial instruments, and would prescribe organization of annual meetings in a similar way as required of listed companies. This is to
………………… company List of supplementary documents to the application for approval: O an organization chart of the company; O detail of scope of duties and responsibilities of the positions applied for approval; O