well as maintain proper check and balance within the SEC organization. 1.1 SEC Board The SEC Board’s structure is in line with international standards to ensure independence and transparency whereby the
operator registration under Clause 2 (1) and (2) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the category under the relevant supervisory law ; (2
business operator registration under Clause 2 (1) and (2) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the category under the relevant supervisory
persons to be listed possess any untrustworthy characteristics pursuant to the Notification on Determination of Untrustworthy Characteristics. Clause 6. In cases where there appears any of the following
of civil sanction, the six ordinary persons above, namely (2) Pranay, (3) Manish, (5) Amit, (6) Supritha, (7) Anurag and (8) Rahul were deemed to possess untrustworthy characteristics and prohibited
business efficiently. Such personnel must possess suitable knowledge, competency, and experience, as prescribed in Clause 8 and Clause 10 of the SEC Notification No. Kor Thor. 19/2561; (3) Establish a
for the working field of asset appraisal, possess prohibited characteristics as prescribed; Not being ordered by the SEC to suspend functioning as appraisal company in capital market or being under the
association between Thai investor cluster membership and their financial literacy. Thai investor clusters differ considerably in their financial literacy such that modern investors tend to possess financial
will keep the list update. In some cases, the name of unlicensed business may bear resemblance or possess similarity to one another; however, they may be or may be not related. Investor Alert Please
aims to check whether clients possess or have borrowed securities before placing selling orders in compliance with relevant regulations. In any case, the SEC will apply stricter inspection and review of