Regulations SHARE : Detail Content ​​​​​​ Enforcement​ ​ The SEC is a regulatory body that carries a mission to develop and supervise the Thai capital market to ensure efficiency, fairness, transparency, and

exchange service under law of such jurisdiction and is under supervision of authority or agency having duty to supervise derivatives; (5) “foreign derivatives business operator” means juristic person

in writing and shall allocate sufficient personnel and resources for operating the work of branch office as well as arrange to have management and operational system to efficiently supervise and

market investment consultant of Finansia Syrus Securities PCL. The suspension was also imposed on {E}, a former executive of UOB Kay Hian for failure to supervise in order to prevent his subordinates from

exemption from the definition as DA Custodial Wallet Provider would be given to DA issuers who provide custody of self-issued DA for their clients, in line with the intent to supervise DA custodial wallet

have the duty to supervise and advise the Board of Directors. Size of Transaction : The calculation of transaction size based on the total value of consideration paid is equal to 0.18% of the total

applicant shall be deemed engagement performance and responsibilities of the audit firm; 7. I will supervise engagement performance of the applicant to ensure that he or she comply with the professional

engagement performance and responsibilities of the audit firm; 7. I will supervise engagement performance of the applicant to ensure that he or she comply with the professional standards, ethics, and rules of

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business or has been barred from serving as executive or being major shareholder of regulated legal entity;  (12) has been revoked the business undertaking by the Thai or foreign

leaders among the SEC staff and regulated agencies.”SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC’s objective is to supervise and develop the Thai capital market as the key platform for