investors for their investment decisions. In additions, the investment consultants/investment planners shall ensure that the potential clients are informed of the action taken before accepting purchasing
(No.5) The Notification of the Capital Market Supervisory Board No. ThorLorThor. 46/2561 Re: Regulations for Personnel in the Capital Market Business (No. 9) Related Forms Application for
markets, over-the-counter trading center and other service providers for transactions in the capital market. “Capital market supervision,” therefore, is primarily the supervision of market participants
business day. (2) Announcement the NAV and investment unit value: (2.1) For mutual fund which investment units are securities listed in the Stock Exchange, the NAV and the investment unit values as of the
Policy for Business Operators Privacy Policy for Trading in Secondary Market Privacy Policy for Internal Administration (website) Complaints and Information Personal data that the SEC Office collects
created should not only be good for the company but also for its shareholders, stakeholders, the capital market and the society at large. If practiced in substance, the objective of long-term sustainable
Protection Board, the Bank of Thailand, the Ministry of Commerce, the Royal Thai Police or the Court, for the benefit of coordinating and handling your complaint. Guidelines for filing a complaint ● In
- April, 2015, the SEC has been striving forward the Thai capital market with the emphasis on development in preparation for ever changing global trend and economic environment. This aimed at building trust
) Private Placement (PP) of shares: in case of a non-listed company in the stock market Offer to sell shares at a discount Fund Raising for Foreign Company Private Placement of Shares and Warrant (listed co