. Duangjai Dhanasthitya Director Broker-Dealer Supervision Department Mrs. Paralee Sukonthaman Director Corporate Affairs Department Mrs. Nataya Niyamanusorn Director Corporate Finance Department Mr. Prakid
supervision of the issuance of financial instruments. Implementation will hinge on achieving an appropriate balance between capital mobilization and investor protection. Other necessary measures are in the
PowerPoint Presentation Summary of The Securities and Exchange Act (No. 6) B.E. 2562 The SEA (No. 6) consists of 6 topics 2/10 Supervision of securities business Supervision of mutual fund management
investment will be made in the shares issued by the company in Clause 5(5), the applicant shall prove that a supervision is put in place to direct the operation of the company in accordance with the
for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re
for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re
: Rules, Conditions and Procedures for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange
qualifications and smart contracts by SEC-approved ICO portals; (3) There might not be enough necessary information disclosed for investors.(4) These is no business operators under SEC supervision allowed
challenges and issues. The meeting was followed by the 8th AARG Inspection Workshop on 17-18 June 2021 to exchange knowledge and experience in audit supervision undertakings among the AARG member countries and
the competition, align and enhance the supervision of alike activities, and provide investors with proper protection. SEC therefore invites public to submit their comments on the proposed amendment