regulations, however, do not apply to licensed venture capital, securities inter-dealer broker and securities investment advisors. For all of the licensees subject to the regulations, they must appoint the
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to appoint other person who qualifies as the personnel under the Notification of the Capital Market
Bangkok, September 2, 2016 ? The SEC Board Meeting No. 9/2016 today resolved to re-appoint three persons to the Stock Exchange of Thailand (SET) Board of Governors for a second term, as follows: (1
Bangkok, April 8, 2014 ? The SEC requires all licensees of securities and derivatives businesses appoint independent directors at least one-fourth of the board members by January 1, 2016.SEC
, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to appoint new personnel having qualifications as specified in Notification of the Capital Market
| - |- Approval & Qualifications (Section 103, 104) |- Auditors |- Reporting Requirements |- Fees |- Related Circular Letter IP/FG |- Appoint/Approval/Code of conducts and Standard Practices |- Reporting |- Fees
Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing
Section 130 Securities and Exchange Act B.E. 2535 Section 130. Upon the dissolution of the mutual fund, the securities company shall appoint a liquidator to collect and distribute assets to the
SEC Board passed a resolution to appoint three persons to the Board of Governors of the Stock Exchange of Thailand (SET). The newly appointed governors are: (1) Mr. Komkrit Kietduriyakul(2) Mr. Pichai