supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have
external parties (7) shareholding structure, both direct and indirect (8) the company’s group structure, including subsidiaries, affiliates, joint ventures, and special purpose enterprises/vehicles (SPEs
: The personal data that the SEC Office collects includes both direct and indirect data, for example, identification number/passport number, title, name, surname (Thai/English), date of birth, citizenship