, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
likely to be dishonest; (9) made any material false statement or acted knowingly to conceal any material which should have been expressly disclosed [in order to make such statement not misleading], in
Operators > Asset Management Regulations Regulations SHARE : Detail Content A Gathering of all Asset Management Regulations Regulated Entities ○ Licensing/Registration • Mutual Fund Management
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activities, yet the scope of SEC authority not covering risks and guarantees for losses from investment, nor compensations for damages incurred to investors in all cases. Other regulated regulators in the
: Determination of Paid-Up Registered Capital of Licensed Operators to Undertake Derivatives Business A Gathering of all Intermediaries Regulations Regulated Entities о Rules and Regulations / Licensing
website and in its annual reports (if any). Institutional Investors who are regulated by the SEC, such as Asset Managers, are required to notify the SEC electronically by email to esg-sec@sec.or.th of
2.2 Securities trading by taking advantage of the information related to a trading orders of securities or derivatives of any client before completing the order of such client (Section 244/1 and