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
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
, supervise the capital market, for example, fund mobilization, products and services, related business operators, unfair securities trading activities in the capital market. The SEC revenue comprises fee
business, not having records of contravening or failing to comply with the criteria for offering securities in substantive matters. 1.3 Having obtained a clear resolution on approval for the capital
: Clause 1 Any securities company obtained some but not all of the securities business licenses in the category of securities brokerage, securities underwriting and securities dealing, may file an
Regulations SHARE : Detail Content Enforcement The SEC is a regulatory body that carries a mission to develop and supervise the Thai capital market to ensure efficiency, fairness, transparency, and
Securities and Exchange Act B.E. 2535, the Finance Minister prescribes the Ministerial Regulation as follows: Clause 1 Any securities company obtained some but not all of the securities business licenses in
arrangement after having obtained special resolution of the unitholders. (3) If the mutual fund management company is unable to obtain specialresolution of the unitholders for an arrangement with a new
arrangement after having obtained special resolution of the unitholders. (3) If the mutual fund management company is unable to obtain specialresolution of the unitholders for an arrangement with a new
supervise financial business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign