companies offering equities in Thailand. To begin with, the first category under the proposal covers primary listing where foreign companies offering equities and becoming listed firms only on the Stock
business with custody of clients’ assets; (3) 25 million baht for undertaking securities business in the category of mutual fund management or private fund management to provide
48 hours and presented them to the Judging Panels at KX Knowledge Xchange Building during 18-19 November 2023.The Judging Panel for the Student Category consisted of: 1 Ms. Areewan Aimdilokwong
{A} from the duty as the approved securities investment consultant for 4 months, effective from April 23, 2015. As the suspension was deemed as the 2nd category of prohibited characteristics of
securities business in the category of securities brokerage, securities dealing or securities underwriting, and (2) a person licensed to undertake the derivatives business in the category of derivatives agent
in the Departmental Level State Agency Category. The SEC is committed to leveraging digital technology to continuously enhance services and operational efficiency under the principle of providing
dated January 18, 2012 which was the 3rd category prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board
capital market business under the 3rd category of Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of Business Operators dated
offering securities in the category of debenture without approval. Following referrals and the SEC's further investigation, it was found that Prasit, chief executive officer of Mandawee Tour, had held a
exempted from the securities business license in the category of private fund management and the derivatives business license in the category of derivatives fund management because they are incidental to