lawyer or the Lawyers Council of Thailand under the Royal Patronage. How SEC Complaint Center handles a complaint: ● SEC Complaint Center will commence handling of your complaint when it has been
service shall be in form specified in the SEC’s Notification. Clause 10 The licensee to operate securities business in the category of investment advisory service shall commence securities business
private fund management shall commence securities business operation after the SEC Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its
mutual fund management shall commence securities business operation after the SEC Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its
, address, telephone number, etc. and any personal data that indirectly identifies a person, e.g., educational background, training, etc. as long as it is necessary for the purposes of collection of such
in form specified in the SEC’s Notification as published in the Government Gazette. Clause 11 The licensee to operate securities business in the category of private fund management shall commence
professionals/gatekeeper Company secretary Aud i tor Company secretary Qaulification Q: Does the Securities and Exchange Act specifies the qualifications of company secretary? What educational backgrounds or
professionals/gatekeeper Company secretary Aud i tor Company secretary Qaulification Q: Does the Securities and Exchange Act specifies the qualifications of company secretary? What educational backgrounds or