Bangkok, 12 January 2024 – The Securities and Exchange Commission (SEC) is seeking public comments on the proposed drafted to the regulations concerning the approval process for a capital market
. Form 61-1 (Application for Approval of Auditor) .pdf file | .doc file 2. Form 61-2 (Certification and Consent of Audit Firm) .pdf file | .doc file 3. Form 61-3 (Notification for Change of
Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She
private fund for which it is responsible, upon the consent of the person so authorizing and approval of the Office, in accordance with the rules, conditions and procedures specified in the notification of
: .................................................................................................................................................................................... With the binding agreement as follows: 3 Clause 1 We wish to express an intention to submit information electronically to the SEC Office and/or the back office service provider and agree to abide by the
intermediary / financial advisor ……………………………………………………………………………………………………………… Back office service provider (outsourced). Please specify the name of the outsourcing company
entry into the Asset Sale and Purchase Agreement and the Land Sub-Lease Agreement is not considered an asset acquisition which requires approval from a shareholders’ meeting, the entry into the Relevant
personal data from its cooperation with governmental agencies: Data for consideration of approval and inspection of wrongdoings from the Bank of Thailand (BOT) and the Office of the Insurance Commission (OIC