Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business of Investment Advisory Service
....................................................................... 8 3.2. Assets covered (or not covered) by the Criteria ......................................................................... 9 3.3. Key elements to the Criteria
; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as... https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act
registration as a qualified fund supervisor, not have records of commission of offense under the laws governing the business operation of such persons, the laws governing anti-money laundering or any other laws
, not have records of commission of offense under the laws governing the business operation of such persons, the laws governing anti-money laundering or any other laws relating to financial businesses
Wongsiridej, and banned him from functioning as capital market personnel for 5 years. SEC Act (the fifth amendment) Section 241 Civil Action Dated 19/05/2017
executive at any issuing or listed companies for 1 year and functioning as capital market personnel for 3 years. SEC Act (before the fifth amendment) Section 241 in conjunction with Section 83 of the
knowledge to discharge their responsibilities. 1.7 Committees The board should establish committees to deliberate on issues such as audit, remuneration and nomination. Where the board chooses not to establish