sanctions, the SEC will notify the public prosecutor in writing for filing the case with the Civil Court to seek a civil sanction with a maximum penalty as prescribed by law which shall not be lower than
group of persons with a number of not over 35 persons; (2) The private fund management company shall prepare the client's profile in writing (customer's profiles/ KYC); (3) The private fund management
in possession of SEC and in a form that the computer can read and readily process (machine readable data). Data can be obtained by means of code-writing for direct data query. SEC anticipates that
can be obtained by means of code-writing for direct data query. SEC anticipates that https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8565 SEC launches initiative to enhance financial reporting
. Clause 6. Prior to agreeing to provide selling agent service for units of foreign collective investment scheme, securities company shall arrange to have agreement in writing with person responsible for
selling, repurchasing and redeeming units of foreign collective investment scheme, a securities company shall arrange to have an agreement in writing with the CIS operator at least in the following matters
operator, which ceases its business in all categories by regulation or order, and when the SEC Office has received notice in writing from the business operator or when the order has come into force, shall be