account, pay-in slip, transfer-deposit-withdrawal slips, statement report, solicitation documents/contracts, and a certified copy of personal checks and other evidence relevant to and useful for the SEC
. ● Documents relating to settlement / cash deposit to or withdrawal from a trading account, for instance: Bank statements used for ATS trading Deposit/withdrawal/transfer slip for purchasing securities
forth by the SEC Board and supervise compliance and enforcement of the securities laws. The SEC Office is headed by Secretary-General who is appointed by the Cabinet upon the Minister of Finance’s
Excellence About Us SHARE : Detail Content Toward International Excellence The SEC stress the importance of practices in compliance with the international standards, so that the Thai capital
systems by improving compliance with internationally recognized standards and codes. The recommendations contained in the report aim to build on the existing system, and offer the groundwork for a country
should contact the compliance unit of the company directly https://www.sec.or.th/EN/Pages/AboutUs/SECComplaint.aspx
Governance Country Assessment (CG-ROSC) is an assessment of CG policy framework and compliance with international standards of capital markets by the World Bank. As participation in this program is voluntary
and International Monetary Fund (IMF) initiative that helps member countries strengthen their financial systems by improving compliance with internationally recognized standards and codes. The