other business operators within 2 years, the client will not be required to do the suitability test prior to making investment in newly issued shares, warrants or bonds. Also, the submission of client
price; 2) exercise of due care by listed companies? board of directors in giving information and opinions; and 3) the SEC?s approval prior to the placement. At this juncture, the SEC has taken into
mobilization, corporate monitoring and accounting supervision. Prior to joining the SEC in 1992, she was an analyst at the Bank of Thailand.The SEC's new line of commands effective from 11 February 2019 is
). Prior to this appointment, she was Director of the Enterprise Risk Management Department, the Strategy and Planning Department, the Bond Department, the Portfolio Advice and Provident Fund Supervision
University, and a master’s degree in management from Sasin Graduate School of Business Administration, Chulalongkorn University. She has been working for the SEC since 1996. Prior to this appointment, she
, Thailand. Prior to the recent appointment, she was Director of the Financial Education Department, the Sales Conduct Supervision Department and the Investment Management Policy Department, respectively
Development Master Plan as well as development of Thai bond market and legal framework for derivatives. Prior to this appointment, Tipsuda was appointed as Assistant Secretary-General in 2007 and Senior
the Royal Police Cadet Academy, an LL.B. from the Faculty of Law, Thammasat University, and a master’s degree in Public Administration from Kasetsart University. Prior to joining the SEC, he served as a
control the risk to customers' assets. The operation shall be obtained the approval from the SEC prior to the operation, but Zipmex did not do so. The act of Zipmex did not operate other than the