-third of its maximum capacity to an individual client, or to a group of associated persons, in case that the buyers/end users of product/services are not the government agencies. This is not applied on
-third of its maximum capacity to an individual client, or to a group of associated persons, in case that the buyers/end users of product/services are not the government agencies. This is not applied on
have conflict of interests or there are adequate measures to manage conflict of interests Principles : Controlling persons or those who have influence on a listed company (directors, executives and
considered: 1. Financial statements shall be prepared in accordance with the financial reporting standards that are acceptable to lead regulator and there shall be no expression of opinion that the auditor's
Criminal action is a type of law enforcement against any person who acts or omits to act in violation of the laws administered by the SEC. Criminal actions are divided into two groups, namely: (a) criminal
, 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
. Both application form and supporting documents must be in Thai or English language. The certified translation is also needed for documents that have been translated from language other than Thai or
investment units are sold exclusively to the Government Pension Fund or Social Security Fund. (2) In the case that the number of unitholders of a retail fund is less than 35 on any business day. 19.1.2 Open
investment units are sold exclusively to the Government Pension Fund or Social Security Fund. (2) In the case that the number of unitholders of a retail fund is less than 35 on any business day. 19.1.2 Open
an independent director) Trustee's duties A trustee shall have a trustee license and is independent from a trust manager. A trustee's main duties are to: oversee that the trust instrument is