supervise and develop the Thai capital market with the mission to assure a conducive environment for a fair, trustworthy, efficient, dynamic, and inclusive capital market. The SEC collaborates with relevant
, as well as to supervise, matters concerning securities, securities businesses, the Securities Exchange, over-the-counter centers, and related businesses, organizations related to securities business
have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities, securities businesses, the Securities Exchange, over-the-counter centers, and
agreement in Clause 6 within five business days as from the date of receiving such information and certification. Clause 11. Securities company shall supervise its personnel to comply with this Notification
appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance
in Clause 7(1); (2) as soon as possible in case of information as prescribed in Clause 7(2). 4 Clause 11 A securities company shall supervise its personnel to comply with this Notification, and
Securities company shall supervise service provider to perform its operation in compliance with rules prescribed by the Securities and Exchange Commission or the Office and the guidelines provided by