insurance business and non-life insurance business, whether operating under Thai or foreign law. “local auditor” means an auditor being able to legally audit according to the laws or rules of the country
Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to
Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021
involved agreed with the principles proposed by the SEC and added the principle of flexibility, in order that the business operators will be able to put this into practice effectively. The public hearing
market, including guidelines for enhancing the development of the Thai securities industry where all sectors are able to gain benefits fairly and efficiently. The joint meeting was held at the SEC
, especially the widely used appraisal. Clause 4 In order to obtain an approval to be an appraisal company in capital market and a lead appraiser, any appraisal company having such wish shall submit an
) which obtain a securities business license in the category of securities brokerage not limited to debt securities or investment units; (3) a person who obtains derivatives business license in the category
securities business license type A or is in a process of applying for such license; (2) securities companies other than the securities company under (1) which obtain a securities business license in the
securities business license type A or is in a process of applying for such license; (2) securities companies other than the securities company under (1) which obtain a securities business license in the
offer for sale of baht bonds, the foreign entity issuer must obtain an approval and adhere to the obligations specified by the Ministry of Finance. However, given the changing contexts and landscape of