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
working hours of the associations for inspections. The related persons should facilitate assistance and convenience reasonably. The associations shall prepare and maintain a copy of a membership register at
Institutional Investors (II) Private Placement to High Net Worth Investors (HNW) Public Offering (PO) Qualifications and approval rules - Applicable to the offering of bonds only. - For the offering of bonds, the
) Public Offering (PO) Approval Qualifications and approval rules - Applicable to the offering of bonds only. - For the offering of bonds, the approval will be granted upon the registration of the
considered as executive as well. Therefore, both Manager Z and Assistance CFO Y are regarded as “executives". Acts and Royal Enactments Ministerial Notifications Rule Making Process Regulations Ministerial
inform suspicious circumstance that may involve illegal activities to the appropriate public authorities as specified by law. Therefore, it may not be considered that information disclosure is in
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
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business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign
forth by the SEC Board and supervise compliance and enforcement of the securities laws. The SEC Office is headed by Secretary-General who is appointed by the Cabinet upon the Minister of Finance’s