digital asset exchange; · approved persons e.g. investment consultant; · listed companies/ securities https://www.sec.or.th/EN/documents/aboutsec/complaint-form-general-en.docx
(United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g., investment consultants 1 and listed companies 2
://www.sec.or.th/TH/Documents/AboutUs/KeyPerformance-2566.pdf English (United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g
approved ICO issuers nor ICO portals recognized by SEC at this moment. Once there exists an ICO issuer or ICO portal fully complied with the regulations, SEC will publish such information on the SEC website
, control and good work practices; (4) no financial troubles; (5) directors, management executives and major shareholders with no prohibited characteristics approved by SEC; (6) no conflicts of interest
of Good Corporate Governance and Prevention of Frauds Regulatory Summary of Approved Auditor in Capital Market Related Rules and Regulations Related Forms Quality Assurance & Review Independent
exceeding the limit approved by the SEC, but not over 15% of the limit (greenshoe) and must be stated in the scheme. (3) The mutual fund management company must provide an evidentiary document of the rights
ธุรกิจหลักทรัพย์ ตัวแทนสัญญาซื้อขายล่วงหน้าที่จำกัดเฉพาะสัญญาซื้อขายล่วงหน้าที่เกี่ยวกับโลหะมีค่า บุคลากรที่เกี่ยวข้อง (Approved Personnel) ผู้ถือหุ้นรายใหญ่ (Major Shareholders) พรบ. หลักทรัพย์ ฯ พรบ