Complex Type 2 Investment Consultant

Complex Type 1 Investment Consultant

The allegation is a consequence of various complaints lodged to the SEC in relation to the increased debt of THB 26,000 million of EARTH following its submission of the financial statement for the

The Revenue Department has prepared a draft bill amending the Revenue Code relating to the improvement of income tax payment from investors investing in debt securities through mutual funds. The

SEC is conducting a public hearing on draft notification on financial statement forms for securities companies and derivatives business operators to be in line with Thai Financial Reporting

issued must not exceed 50% of the total number of shares sold; 2. In a written notice calling for shareholder meeting that seeks approval for issuing convertible debentures must contain information

To ensure that asset management companies primarily manage funds for the investors’ benefits,  SEC has revised the regulations in order to control and monitor mutual fund management by requiring

SEC has prepared a questionnaire surveying preparedness toward the Personal Data Protection Act, B.E. 2562 in April 2020 for self-assessment of 276 organizations under its supervision. Based on the

GOVERNING BODY / AUDIT COMMITTEE 1st Line of Defense- Owner of risk and control 2nd Line of Defense - Coach 3rd Line of Defense - Audit Ex te rn al A ud it Re gu la to r Management Controls Internal Audit ECO

To prepare market?s readiness for the inauguration of futures exchange in 2005, the SEC approved draft rules on licensing for derivatives agents. To apply for the license, applicants must possess the