estimates; Taking actions to ensure that neither the executives of securities issuers nor any FAs disseminate the information that is not contained in the filing; Together with the issuers, clarifying to the

invest for the transition and finance companies’ emissions reduction to drive change in the real economy. It is therefore utmost important that asset owners and asset managers understand the fundamental

Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter    Executives of securities companies and personnel in securities business |- Approval and

for the transition and finance companies’ emissions reduction to drive change in the real economy. It is therefore utmost important that asset owners and asset managers understand the fundamental

Definition of “Executives” under Chapter 3/1 of the Securities and Exchange Act B.E. 2535 (1992) as Amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008)

Printable Format - Laws and Regulations Limited BDU |- Licensing |- Registered Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel

Listing Names of Persons on Database of Directors and Executives of Securities Issuing Companies By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities

The Securities and Exchange Commission (SEC), led by Secretary-General Pornanong Budsaratragoon along with executives, and the Association of Securities Companies (ASCO), led by Chairman Pichet

equity analysis and preparation of analyst reports. Executives and experts share their views and practical experience on the matters with participants from securities industry including executives

in the part of employments and activities of directors and executives of listed companies. The proposed amendment aims to enhance disclosure of information by requiring that directors and executives of