website by collecting and reporting information on how you use it. The cookies collect information in a way that does not directly identify anyone. For more information on how these cookies work, please see
website by collecting and reporting information on how you use it. The cookies collect information in a way that does not directly identify anyone. For more information on how these cookies work, please see
appropriate level of risks. To achieve such a goal, the SEC believes that investing in activities with emphasis on sustainability strategies, good governance and accountability to the society and environment
operational system will be prompt for operating securities business in the category of private fund management; (6) be able to show that its human resource will be prompt and adequate with a view to
of operation in such a way that [the securities company] shall severely suffers loss; (6) not be company that fails to operate on date and in time specified without the SEC Office’s approval under
attached herewith. Clause 6 Limited company or public limited company that has been granted a license under this Ministerial Regulation shall comply with criteria, conditions and procedure specified by the
in the category of investment advisory service; (3) be able to show that its human resource will be prompt and adequate with a view to responsibility for investment advisory service. Where the
, there shall be a condition specifying that the licensee shall maintain its qualifications as specified in this Ministerial Regulation throughout the license period shall undertake business operation in
management, there shall be a condition specifying that the licensee shall maintain its qualifications as specified in this Ministerial Regulation throughout the license period and shall undertake business
Excellence About Us SHARE : Detail Content Toward International Excellence The SEC stress the importance of practices in compliance with the international standards, so that the Thai capital