client’s assets, as well □ 1. □ (1) □ (2) □ 2. □ (1) □ (2) □ 3. □ (1) □ (2) □ (3) □ (3.1) □ (3.2) (Translation) Particulars For the SEC Officer as related information and documents and controlling system for
measures for investor protection. In this regard, the SEC Office may 5 determine conditions for the applicant to comply with as well. Clause 9 In the case where it appears to the SEC Office a fact causing
) as well as the provisions under Part 6 in case of the applicant being a holding company; 2 Amended by the Notification of the Capital Market Supervisory Board No. Tor Jor. 55/2558 Re: Provisions
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
support of investment and private spending as well as bolstering opportunities for other economic sectors. Nonetheless, protectionism triggered by the US-China trade dispute dealt a blow to global economic
increased direct oversight of auditors of listed companies, and local accounting standards are converging to International Financial Reporting Standards. The SEC and Bank of Thailand (BoT) are well resourced
investment results. Climate change, water scarcity, community conflicts, resource depletion, supply chain breakdowns, worker well-being and economic inequality, coupled with instantaneous communication, can
very well as 50 new companies got listed on the SET and MAI over the year. Listed companies’ net profit registered 454.1 billion baht with the market capitalization as high as 4.52 trillion baht
investments on the basis of integrity and prudence, exercise their knowledge and expertise as professional to ensure the full protection of investors’ interest, as well as provide proper and sufficient