person who has authorized the management of the private fund using knowledge and competence as a professional. SEC Act S.134 paragraph 2 and paragraph 3 in conjunction with 133 paragraph 1 Criminal

(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Investment Consultant on General Products No. Relevant Knowledge Qualifications List of Required Examinations1 (1) Fundamental

held this workshop, where knowledge and experiences would be shared for the purpose of active and swift operation, such knowledge include, collecting and inspecting evidence, procedures regarding

SEC Thailand has consecutively taken part in this global event since 2017, reflecting our organization’s dedication to enhance the public’s capital market investment knowledge and digital financial

once a year: (1) conduct testing on the business continuity plan with members and involved persons; (2) have the results of the testing under subclause (1) evaluated by a person with required knowledge

understanding of their roles and building their readiness for discharging duties more efficiently and effectively. Additionally, the SEC reviewed the accuracy of financial reports of listed companies, supervised

of investor’s wealth creation and the fund raising of issuers. SEC supervised the intermediary and has collection of annual fees at the current rate for some time.SEC, therefore, has a plan to revise

following Divisions and Departments:           2.1 Enforcement Division comprises Enforcement Department, Litigation Department and Administrative Appeals Center, supervised by Assistant Secretary-General

as well as licensees which cease business operations.For financial institutions supervised by other lead regulators and licensed to operate securities or derivatives businesses, such as commercial

14th Money Expo Chiang Mai 2019 at the Chiang Mai Hall, Central Plaza Chiang Mai Airport. SEC was with the responsibility to provide basic knowledge on the capital market and digital assets, to