behalf of the customers; “Financial institution” means any financial institution under the laws governing loan interest rates of financial institutions; “Office” means the Office of the Securities and
reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------------- Notification of
case an intermediary being [i] financial institution which is regulated by the Bank of Thailand or the Office of Insurance Commission or [ii] state enterprise under Ministry of Finance’s purview has
) “Department director” means any person who is responsible for the internal operation of a department in the company; (6) “Work experience” means work experience in a financial institution or other organization
the accounting standards prescribed by the International Accounting Standards Committee or the American Institution of Certified Public Accountants or the Financial Accounting Standards Board. Such
Assets of a Securities Company dated 4 January 2000 shall be repealed and replaced by the following texts: “(2) a financial institution whose core businesses are already under supervision and are licensed
undertaking of finance, securities and credit foncier businesses, securities company under the laws governing securities and exchange, life insurance company under the laws governing life insurance or financial
SEC Thailand Academy 2016 ประกาศแนวปฏิบัติ ที่ นป. 3/2562 เรื่อง แนวทางในการปฏิบัติหน้าที่ของบุคลากรในธุรกิจตลาดทุน __________________ ตามที่ประกาศคณะกรรมการกำกับตลาดทุน ที่ ทลธ. 8/2557 เรื่อง หลัก
reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Securities and Exchange
Notification of the Securities and Exchange Commission (Translation) PAGE (Translation) - 4 - Readers should be aware that only the original Thai text has legal force and that this English