Securities and Exchange Act B.E. 2535 to allow qualified financial institution or such other legal entities to undertake such securities business by means of being shareholders of newly established company
must be clearly specified in order to avoid any doubt whether internal information is used to the benefit of the executives. The program must be administered by an intermediary, such as a securities
there are adequate measures to manage conflicts of interest; There is no reason to doubt that the management mechanism will be unable to protect the rights of the shareholders or to treat the shareholders
About Us SHARE : Detail Content How We Operate The SEC is an independent state agency established by the virtue of the Securities and Exchange Act BE 2535. Our main duties are to promote, develop
established an anti-corruption policy? If not, when will the company begin to develop such policy? 2. In case of an anti-corruption policy already put in place, has the company laid out a management structure
company or public limited company which is newly established for operating securities business in the said category mutual fund management under this Ministerial Regulation. Clause 3 Limited company or
Organization of Securities Commissions (IOSCO) Established in 1983, the IOSCO is the international body that brings together global securities regulators and is recognized as the global standard setter for
established under specific law; or (6) newly established limited company or public limited company to undertake securities business in the category of investment advisory service under this Ministerial
limitedcompany to undertake securities finance business and application and issuance of license to the companyso established to undertake securities finance business shall be specified in this Ministerial