) Director, executive or controlling person of securities issuing company (2) Employee or worker of a securities issuing company who holds a position, or is in the line of work, is responsible for or capable
Bangkok, March 31, 2015 ?The SEC opened ?SEC Capital Market Knowledge Center,? with interactive multimedia to provide a comprehensive source of financial and investment information along with
voting rights” and opened public hearing on the matter in late 2018. The stakeholders mostly agreed with the principle. SEC is proposing a draft notification of the Ministry of Finance which reflects
SEC has opened for public comments to revise the regulations on supervision of fintech as there are some business operators applying fintech to improve their service efficiency for investors. For
performance of duties related to such inside information; (4) director, sub-committee member, representative of a juristic person, agent, employee, staff member, advisor or worker of a governmental agency, the
person, agent, employee, staff member, advisor or worker of a governmental agency, the SEC Office, a digital asset exchange, who holds the position or act in the capacity that has access to inside
the audit firm who has an influence on the applicant’s giving of opinions are not employee or worker of the company or its subsidiaries for which the applicant is the auditor; 5. The audit firm does not
influence on the applicant’s giving of opinions are not employee or worker of the company or its subsidiaries for which the applicant is the auditor; 5. The audit firm does not provide bookkeeping or any
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened