important information and supporting evidence to SEC Complaint Center. This includes the followings; 1. Personal information of the complainant, e.g., full name, mailing address and phone number; 2. Power of
name of the investment consultant. ● Name of Securities/derivatives intermediary or the employer of the unit seller such as commercial bank. ● Details of the behavior causing the complaint
must be clearly specified in order to avoid any doubt whether internal information is used to the benefit of the executives. The program must be administered by an intermediary, such as a securities
you are a client of a securities or derivatives intermediary who, as a disputant, agrees to be bound by the arbitrator’s decision, a dispute may be settled through arbitration. 2 Listed company means a
related associations The SEC has the power to make an order for the directors or members to clarify about facts of the associations. The SEC or the officers are empowered to enter the association during the
(CMSB) has the power and duty under the Securities and Exchange Act that include issuance of rules and regulations governing the securities industry and reporting to the SEC Board. The CMSB comprises
management of the mutual fund may cause damage or unfair treatment to the investors. (5) The operation of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power
Seminar 2020 ตอนที่ 1 “Power of the crowd: ฝ่าวิกฤต COVID-19 ด้วยคราวด์ฟันดิง" SEC Fintech Virtual Seminar 2020 ตอนที่ 2 “พลิกโฉมธุรกิจ SME: โอกาสใหม่ในยุค COVID-19" SEC FinTech Virtual Seminar 2020 ตอนที่