) surveillance system to prevent conflicts of interest: the system was found to be inefficient and failing to detect if its employees use their related persons to open a trading account and execute transactions
investment solicitation and contact the Investment Scam Hotline if they have suspicious cases to report regarding persons, products or companies allegedly operating without license. The SEC will verify and
: (1) Customer type, whether an institutional or retail investor, and also indicate where a customer placing orders for several persons or through series of accounts in undisclosed manner (omnibus
of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Section 39, Section 48, and Section 50 of the Constitution of the Kingdom of Thailand so permit by
and sustainable business development SEC Roles Related organizations Related persons Sustainable development roadmap Rules/Regulations SEC Securities and Exchange Act B.E. 2535 (1992) Related
shareholders attending the meeting who have voting rights Must not entrust any other persons to prescribe the detail of securities / criteria, conditions and procedures for the sale of securities
provisions in relation to restrictions of rights and liberties of persons, in respect of which Sections 29 in conjunction with Sections 35, 36, 45, 48, and 50 of the Constitution of the Kingdom of Thailand
offered only to persons related to the issuer or II or HNW. - If the offering is made to HNW who is not a person related to the issuer, it shall be made through intermediaries. - Applicable to the
The Trust for Transactions in Capital Market Act B.E. 2550 (2007) as amended doc pdf Emergency Decree on Special Purpose Juristic Persons for Securitization B.E. 2540 (1997) as amended doc pdf