is for promoting and supervising derivatives intermediaries, having obtained an approval [for establishment] from the Securities and Exchange Commission. The law on financial institution business
an approval [for establishment] from the Securities and Exchange Commission. 2 The law on financial institution business means the Financial Institution Business Act B.E. 2531 (2007). 4 Division 1
[such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of which objectives is for promoting and supervising derivatives intermediaries
who are in Contact with Investors ● Mutual Fund Management Business ● Revision of Rules on Securities Underwriting ● Law Enforcement 52 GOAL 4 Preserve Market Fairness and Transparency, Understand
licensed or regulated by the SEC Thailand : Management company Licensed bank/ Financial institution Licensed securities company Licensed institution/ Corporation/ Organisation (e.g. insurance company) Other
implementation of appropriate risk management and resource allocation by their board of directors and executives that is practical and meets the standards established by an international organization concerning
GBP recommend a clear process and disclosure for issuers, which investors, banks, underwriters, placement agents and others may use to understand the characteristics of any given Green Bond. The GBP
, banks, underwriters, placement agents and others may use to understand the characteristics of any given Social Bond. The SBP emphasize the required transparency, accuracy and integrity of information that
the most recent financial statements or the consolidated financial statements, excluding companies operating financial institution business; (2) Requiring listed companies with the characteristics
Exchange Commission concerning Maintenance of Capital of Investment Advisors and Derivatives Advisors . “ financial institution ” means: (1) a commercial bank under the Law on Financial Institutions ; (2) a