The SEC Management introduces the new look of corporate website www.sec.or.th, featuring multi-device accessibility as well as more user-friendly experience for the public, investors and regulated
derivatives fund managers being a financial institution regulated by other agencies; “ electronic data ” means data that are created, sent , received, stored or processed through electronic https
ตลาดหลักทรัพย์ including derivatives fund managers being a financial institution regulated by other agencies; “ electronic data ” means data that are created, sent , received, stored or processed through
participating fund managers have the necessary experience and track record in managing retail funds, and funds offered under the framework are regulated and managed based on industry best practices. Regulatory
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
retail funds, and funds offered under the framework are regulated and managed based on industry best practices. Regulatory Summary Related Manuals/Guidelines Related Rules and Regulations Related Forms
licensed or regulated by the SEC Thailand : Management company Licensed bank/ Financial institution Licensed securities company Licensed institution/ Corporation/ Organisation (e.g. insurance company) Other
violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction
business operations and mitigate undesirable impacts especially the operational risks. The proposed revisions include rectification of non-compliance with capital requirement and imposition of operational
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No