: https://www.iosco.org/about/?subsection=display_committee&cmtid=12 2. Policy Committee on Retail Investors : This committee has been established in 2013 with mandates to conduct IOSCO’s policy work on
-- DRAFT Principles -- (Unofficial Translation) PAGE (Unofficial Translation) - 2 - Readers should be aware that only the original Thai text has legal force and that this English translation is
for Money Laundering and Financing of Terrorism _____________ By virtue of (1) Clause 4(2) of the Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and
Use of Securities Business for Money Laundering and Financing of Terrorism _____________ By virtue of (1) Clause 4(2) of the Notification of the Securities and Exchange Commission No. KorThor. 42/2543
under consideration. 1. Mr. Nontaphon Nimsomboon 4. Ms. Chongchitt Leekbhai 2. Prof. Thavach Phusitphoykai 5. Mr. Pakorn Penparkkul 3. Mr. Natasek Devahastin 6. Mrs. Pranee Phasipol Non-practitioner
33 34 Contents 2 Securities and Exchange Commission Introduction The Securities and Exchange Commission, Thailand (“SEC”), an independent state agency, was established under the promulgation of the
in Figure 1, 2 and 3. Figure 1: No. of audit firms and auditors registered with the SEC. (More details at http://market.sec.or.th/public/orap/AUDITOR01.aspx?lang=th) Remark: ‘International firms
, Secretary-General, SEC Thailand, at the Federation of Capital Market Organizations Seminar, Bangkok , June 2, 2011 ถึงเวลากำกับดูแลตั๋วเงิน บีอี ของธนาคารพาณิชย์อย่างจริงจัง โดย นายธีระชัย ภูวนาถนรานุบาล
delegate its duty to other persons except where: (1) the trust instrument provides otherwise; (2) it is a transaction that is not personal in nature and needs no capability of trustee’s profession; (3) it is
the National Legislative Assembly, as follows: SECTION 1 This Act shall be called the “the Trust for Transactions in Capital Market Act B.E. 2550.” SECTION 2 This Act shall come into force after ninety