SEC is cooperating with agencies and organizations, both public and private, to strengthen supervisory standards and common practice guidelines for listed and regulated companies. We expect our

supervise financial business or has been barred from serving as executive or being major shareholder of regulated legal entity;  (12) has been revoked the business undertaking by the Thai or foreign

achieve sustainable outcomes without imposing undue burdens on regulated persons. Operating under limited resources, the SEC’s approach to regulatory and supporting measures combines intervention and

ตัวแทนซื้อขายสัญญาซื้อขายลวงหนาใน ตางประเทศ (ฉบับที่ 2) ลงวันที่12/05/2555 ประเทศนั้นและอยูภายใตการกํากับดูแลของทางการหรือหนวยงานทีท่ําหนาที่กํากบัดูแลดานสัญญา ซ้ือขายลวงหนา (regulated exchange

สมาคมผู้ประเมินมูลค่าทรัพย์สินแห่งประเทศไทย และสมาคมนักประเมินราคาอิสระไทย ให้ร่วมกันท าหน้าที่ก ากับดูแลวิชาชีพประเมินส าหรับตลาดทุนในลักษณะองค์กรก ากับดูแลตนเอง (Self Regulated Organization, (“SRO

licensed firm Give advice Retail investors Licensed & regulated by Home regulator ACMF pass holder Fast-track approval Give advice Non-Retail investors Attachment is subject to host’s Laws and Regulation

licensed or regulated by the SEC Thailand : Asset Management Company Licensed Bank/ Financial Institution Licensed Securities Company Licensed Institution/ Corporation/ Organisation (e.g. insurance company

Thailand by the following intermediaries who are licensed or regulated by the SEC Thailand : Asset Management Company Licensed Bank/ Financial Institution Licensed Securities Company Licensed Institution

director or general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for

general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for undertaking 2