or Agent (individual) Acting as Investor Contact of the Company D erivatives Agent Licensed Derivatives Broker Registered Derivatives Broker Securities Dealer Securities Companies and Other
revenue to the country. As the Thai capital market has been developed to become increasingly efficient and significant sources of financing, they have, in parallel, increased contributions to the country's
ensures that efficient internal control is in place and the SEC operation complies with corporate governance principles. Click here to see SEC organization chart. Our Roles How We Regulate
whether such service provider is borrower's or lender's counter party of agent. Undertaking securities borrowing and lending business under the first paragraph shall, however, not include the followings
manager being a director, executive or employee of another company, the mutual fund management company shall prove that the organization structure of is designed or efficient measures installed to prevent
manager being a director, executive or employee of another company, the mutual fund management company shall prove that the organization structure of is designed or efficient measures installed to prevent
selling and redemption investment units (c) Increasing in selling agent (d) Increasing in frequency of (e) Decreasing in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name
selling and redemption investment units (c) Increasing in selling agent (d) Increasing in frequency of (e) Decreasing in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name
broker or an agent to effectuate trading in debt securities between dealers in normal course of business, the service of which is carried out by collecting information on offer for sale or purchase of such
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