Derivatives Broker Registered Derivatives Broker Securities Dealer Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company
guarantor, the qualification of the new guarantor and terms of guarantee agreement shall not be inferior to the previous one, except in any of the following cases: (1.1) The mutual fund management company
directors’ respective roles and responsibilities, linked to their individual and company performance, and provide incentives for the board to lead the company in meeting its objectives, both in the short and
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the following week. Monthly Reports Unaudited Monthly Financial Statement (Form Bor.Lor. 2 & Bor.Lor. 2/1
Stock Exchange of Thailand Director, Thailand Securities Depository of Thailand Chairman, Thai Credit Guarantee Corporation Director, Executive Director EXIM Bank Trainings Corporate Governance
) Establishment of fund with special features (4.1) Guaranteed fund A guarantee fund arranges for a third party's guarantee to ensure that the investors will receive the guaranteed amount of capital and returns