changing international accounting principles. In developing market infrastructure to enhance local players' competitiveness on the global arena, the SEC encouraged securities companies to initiate novel
violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction
and shall include : (1) public organization; (2) provincial administration organization, municipality, Bangkok Metropolitan Administration, Pattaya City and any other local government organizations
Funds under HK-TH MRF in Thailand (Inbound) 1.1 Applicant The Hong Kong Covered Management Company or its local representative1 shall file an application for an offering for sale of the Hong Kong Covered
decision on investment for the fund is permitted to provide general advice on fund as well. o The Recognized Representative is permitted to provide ASEAN product knowledge for local investors. Giving
Kong Covered Entity or a local representative shall submit a duly signed and completed Application Form (Form 35 – HK-TH MRF) to the SEC together with supporting documents which include: As of June 2021
organization; (2) provincial administration organization, municipality, Bangkok Metropolitan Administration, Pattaya City and any other local government organizations specified by law as special local government
administration organization, municipality, Bangkok Metropolitan Administration, Pattaya City and any other local government organizations specified by law as special local government organization; (3) unit or
and developing the Thai capital market as a major fundraising venue for both local and international businesses. Throughout the years, enhancing the financial reporting quality has always been an
: Website: Contact person: Email: CIS operator is under the supervision of: Name of local representative: Contact person: Email: Name of local intermediary: Contact person: Email: Warnings: An investor