lawyer or the Lawyers Council of Thailand under the Royal Patronage. How SEC Complaint Center handles a complaint: ● SEC Complaint Center will commence handling of your complaint when it has been
service shall be in form specified in the SEC’s Notification. Clause 10 The licensee to operate securities business in the category of investment advisory service shall commence securities business
private fund management shall commence securities business operation after the SEC Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its
mutual fund management shall commence securities business operation after the SEC Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its
be classified into different classes, provided that the rights and benefits of the same investment units class are reasonably equally determined. (Classifying investment units by asset types is
be classified into different classes, provided that the rights and benefits of the same investment units class are reasonably equally determined. (Classifying investment units by asset types is
in form specified in the SEC’s Notification as published in the Government Gazette. Clause 11 The licensee to operate securities business in the category of private fund management shall commence
monitoring performance are determined”. (G20/OECD Principles of Corporate Governance, 2015, p.9) 3. The Corporate Governance Code The CG Code has two main parts: Part 1: Principles and Sub-Principles Part
interests Conflict of interests Solutions Related party transactions The pricing of the RPT must be determined with reference to the market price; A clear contract and policy is made; Fair
monitoring performance are determined”. (G20/OECD Principles of Corporate Governance, 2015, p.9) 3. The Corporate Governance Code The CG Code has two main parts: Part 1: Principles and Sub-Principles Part