combination of the following activities: (1) Attending training courses or seminars organized either by securities companies or training institutes accepted by the Office; (2) Being a speaker, lecturer, full
of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3
, regulations, ethics or relevant laws during the latest two calendar years prior to the expiration of the approval term. 1 Being in the field of business administration, finance, accounting, economics or any
of the following qualifications; being an auditor who, in accordance with foreign laws, is eligible to perform audit and certify financial statements of a foreign entity whose securities are publicly
Bangkok, 15 January 2018 ? The SEC has announced today the three-year Strategic Plan 2018-2020 with more focus on provision of wealth advice for long-term well-being of investors and promotion of
Rules Conditions and Procedures for Being Director or Executive of Other Securities Companies
Short Selling of ETF and Securities Being Underlying of ETF by a Securities Company
Rules for Being Settlor and Trustee of Real Estate Investment Trust
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order