investments or ( 3 ) bear obligations to the securities clearing and settlement system NCR ≤ 7 % or NC ≤ 1 million baht Restricts business operation, and must file a 90 - day correction plan with
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
, Executives, Auditors, Plan Preparers and Plan Administrators (Form 59) Information, Certification and Consent of the Company's Director and Executive (Form 35-E1) Letter of Consent to Disclose Information
Commission No. SorJor. 38/2561 Re; Preparation of Report on Changes to the Securities and Derivatives Holding of Director, Executive, Auditor, Plan Preparers and Plan Administrators, Chapter 2, Clause 7
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business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign
Thai capital market. Thus, the SEC has always put its best effort to supervise and improve quality of financial report to ensure that public disclosure of financial report is accurate, transparent
No. SorJor 38/2561 Re; Preparation of Report on Changes to the Securities and Derivatives Holding of Director, Executive, Auditor, Plan Preparer and Plan Administrator Public Offering (PO) Secondary
plan to urge the Thai public to realize the importance of financial planning to really and to put into practice . In parallel, we support service providers of financial planning accessible by the
plan to urge the Thai public to realize the importance of financial planning to really and to put into practice . In parallel, we support service providers of financial planning accessible by the
documents altogether: (1) three year operation plan of the securities company in applying categories; (2) financial statements during three years prior to the year of filing application for securities