as specified by the Minister upon recommendation of the SEC. "securities brokerage" means brokering or representing any person in the purchase, sale or exchange of securities in the normal course of
engagement levels. Thus, the quality of SEC?s auditor supervision has been internationally recognized, as evidenced by IFIAR?s acceptance as a member in 2010. In addition, the European Union?s endorsement in
aspects and age groups is attracting support and endorsement from all sectors. The SEC recognizes and commends businesses that value the importance and benefits of providing knowledge to the public on a
aspects and age groups is attracting support and endorsement from all sectors. The SEC recognizes and commends businesses that value the importance and benefits of providing knowledge to the public on a
Monitoring, supervisory and enforcement mechanism 11 3.6 National regulations regarding the approval process, and other requirements 12 Appendix 1: Recognised ACMF member countries for ACMF Pass framework 13
licensed firm Give advice Retail investors Licensed & regulated by Home regulator ACMF pass holder Fast-track approval Give advice Non-Retail investors Attachment is subject to host’s Laws and Regulation
|- Anti-fraud Provisions (section 98(3)) |- Forward Transactions/OTC Equity Derivatives Transactions (section 98(4)) |- Securities Borrowing and Lending (section 98(5)) |- Short Sale Provisions (section 98
- 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
recommending board training and evaluation and a recommendation on considering the establishment of specialized board committees in areas such as remuneration, audit and risk management. We look forward to the
securities business, having obtained an approval to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of