(comprehensive version) SEC public hearing on proposed subordinate regulations under the Emergency Decree on Special Purpose Juridic Persons for Securitization B.E. 2540 (1997) ‘SDGs Resource Center’ to be one
liberties of persons, which Section 29 in conjunction with Section 32, Section 33, Section 41 and Section 43 of the Constitution of the Kingdom of Thailand so permit by virtue of law, the Securities and
securities issuing companies. 4. The controlling persons shall not have any of the untrustworthy characteristics. 5. No record of breaches of regulations and laws (i.e. being currently subject to a criminal
virtue of Section 7 and the fourth paragraph of Section 90 of the Securities and Exchange Act B.E. 2535, which is an Act containing provision in relation to restrictions of rights and liberties of persons
inefficient and failing to detect if its employees use their related persons to open a trading account and execute transactions. Even though the relationship between clients and employees was found out, the
) 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