. Whoever wishes to offer services to other persons by soliciting investment, offering loans or providing investment management services is required by law to obtain a securities business license first. We

ASEAN capital markets.? The foreign CRAs allowed to provide voluntary rating, though not required to obtain the investment advisory license, must meet the following criteria: -?operating credit rating

satisfy the audit procedures due to limitation on scope of audit imposed by the PICNI management in various matters including inability to obtain certification from the company?s management regarding

allowed to contact and give investment advice to clients. The SEC has emphasized to all intermediaries to strictly instruct their investment consultants to obtain and compile sufficient information for

by requiring the auditors to obtain prior approval from SEC. In addition, the auditors must be associated with the audit firms recognized by SEC. The auditors, however, shall not be director, manager

information thoroughly and exercise their rights to protect their own benefits. In addition, they should seek further clarifications from the company?s directors and executives to obtain adequate information

build financial resilience amid changing situations in all areas in order for them to obtain sufficient savings for their retirement. The SEC is ready to work with the Ministry of Education in helping

home exchange and additionally follow certain Thai regulations. Local investors investing domestically in those foreign securities will obtain the same levels of protection and information disclosure as

minor shall obtain a consent from the rightful representative before executing any legal acts and any acts executed by a minor without such consent shall be voidable unless regulated otherwise, etc

., Ltd. (K-Asset) and SCB Asset Management Co., Ltd. (SCBAM), as well as the equity funds managed by both companies.  Evidence indicated that she had performed her duty dishonestly in order to obtain