such as gold price/crude oil price/agricultural products by an unlicensed company. ● Information of solicitor/advisor such as company’s name, address, website, online media, full name and contact
established by the virtue of the Securities and Exchange Act BE 2535. Our main duties are to promote, develop, supervise the capital market, for example, fund mobilization, products and services, related
supervising securities businesses; 3. The SEC Office implementing policies, inspecting licensed/approved corporations and individuals, and developing financial products. Meanwhile, the Audit Committee
SHARE : Detail Content SEC Help Center Matters under Supervision of Other Laws Products and Services Contact Information ● Financial crimes (e.g., Ponzi scheme, unauthorized financial transaction
Issuance and Offering of Debt Securities, Derivatives and Structured Products Chairman of the Sub-committee on Consideration of Regulations on Supervision of Business and Market Intermediaries, Sales Conduct
Management Policy and Development Department Director, Corporate Finance - Debt and Other Products Department Citibank, N.A. Bangkok Mutual Fund Supervisor Mrs. Pornanong Budsaratragoon Ms
, Infrastructure Funds and Real Estate Investment Trusts Member of the Sub-committee on Consideration of Regulations on Issuance and Offering of Debt Securities, Derivatives and Structured Products Experiences
incorrect disclosure of information; Stock loss from a trading account, failure of investment consultants / investment analysts / unit sellers to give information or advice on the invested products or
financial instruments and put in place effective regulations to ensure fairness and prevent exploitation of stakeholders. As the market became more developed, new products were introduced and three laws were
capital put items on the general meeting agenda? Ans. Yes พ.ร.บ. หลักทรัพยฯ์ มาตรา 89/28 1/1 6 Must Buyer's annual financial statements be audited by an external auditor? Ans. Yes - พ.ร.บ. บริษัทมหาชนฯ