the personnel related to the capital market or capital market supervision; (3) development of knowledge and understanding of the capital market, investment and capital market development for investors
share information and regularly attending meetings to share experiences and knowledge on the supervision of auditors and audit firms. Furthermore, the SEC is also welcomed as a member of the International
one director with IT knowledge or experience, while a Risk Supervision Committee must be established to provide assistance to the Board of Directors with regard to risk supervision. 3. Approval of the
large part consistent with the SEC’s Strategic Plan and policy since the SEC is a major driver of the Master Plan. In this past year, the SEC has been active in imposing rigorous supervision/enforcement
officials to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette. CHAPTER 1 SUPERVISION OF SECURITIES AND EXCHANGE
PowerPoint Presentation Summary of The Securities and Exchange Act (No. 6) B.E. 2562 The SEA (No. 6) consists of 6 topics 2/10 Supervision of securities business Supervision of mutual fund management
of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3
skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3. Maintenance of
limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for renewal of
for investor contacts shall be granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC