become effective from 1 May 2021.”The SEC has issued a circular to auditors to provide explanation and guidance on the amendments to the requirements for applying for approval and maintaining status as
Thienhom, SEC Deputy Secretary-General said that "In case of using customer trading order report in substitution for order ticket, the document must be prepared according to the SEC circular No. SEC.Thor
Securities and Exchange Commission Notification of Capital Market Supervisory Board Notification of the Office of the Securities and Exchange Commission Circular Guideline Data not found ติดต่อ ก.ล.ต. สำนักงาน
means any legal entity obtaining the license to undertake securities business which is not: (1) any legal entity supervised by any other governmental agencies before obtaining securities business license
Notification shall come into force as from 16 June 2021. Clause 2 In this Notification: “collective investment schemes” means foreign collective investment schemes authorised and supervised by the home regulator
units of the new mutual fund or the mutual fund which accepts the transfer of assets. Clause 3. All notifications of the Office of the Securities and Exchange Commission, orders and circular letters
. Report/Form (Notification of Securities and Exchange Commission) Form 90-11 Application for a License to Undertake Securities Business in the Category of Securities Borrowing and Lending 17. Circular 3
/Form (Notification of Securities and Exchange Commission) Form 104-7 Certified Letter of Executive Profile of the Securities Company (as of 1 May 2004) 15. Circular 19/2543 26/09/2000 16. Circular
Exchange Commission 62/2543 29/11/2000 01/01/2001 18. Circular 1/2556 31/01/2013 19. Circular 3/2548 21/01/2005 Contact The Securities and Exchange Commission, Thailand 333/3 Vibhavadi