of total shares sold of such legal entity; (3) 2 have objectives to operate securities business in the category as applying for license and other activities as permitted by the SEC; (4) be able to show
Thai baht; 3) Not having the characteristics of structured notes ( except there is a put option or the convertibility requirements); 4) In case of subordinated instruments that are convertible, the rates
. The SEC supports Thaipat Institute to develop "the first CSR and Anti-corruption progress indicators for Thai listed companies", with a six level assessment of 0-5. Anti-corruption The term
: The personal data that the SEC Office collects includes both direct and indirect data, for example, identification number/passport number, title, name, surname (Thai/English), date of birth, citizenship
working paper which must be maintained as a record for a minimum of 3 years; Reporting to the SEC of any non-cooperation cases of the clients. Failure to report to the SEC will be deemed FAs' flaws
the diversity of biology, waste management, and greenhouse gas emissions. (6) Fair competition by promoting ethical business conduct and not using anti-competitive practices to gain or protect a market
. Both application form and supporting documents must be in Thai or English language. The certified translation is also needed for documents that were translated from language other than Thai or English