, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain qualifications, has a prohibited characteristic, performs duties defectively, or fails to
compensations for damages incurred to investors in all cases. Other regulated regulators in the public and private sectors. Creating collaboration among all agencies in terms of concerted efforts to achieve the
Derivatives Business A Gathering of all Intermediaries Regulations Regulated Entities о Rules and Regulations / Licensing / Registration • Brokerage о Securities Brokerage о
website and in its annual reports (if any). Institutional Investors who are regulated by the SEC, such as Asset Managers, are required to notify the SEC electronically by email to esg-sec@sec.or.th of
website and in its annual reports (if any). Institutional Investors who are regulated by the SEC, such as Asset Managers, are required to notify the SEC electronically by email to esg-sec@sec.or.th of
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business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign
than the regulated entities under our own supervision. The governance framework was approved by the SEC Board on October 1, 2007. It has been reviewed periodically since then to ensure appropriateness
juristic person and a shareholder or a partner of the said juristic person who holds shares or partnership in such juristic person, either directly or indirectly, more than fifty percent of the total sold
juristic person and a shareholder or a partner of the said juristic person who holds shares or partnership in such juristic person, either directly or indirectly, more than fifty percent of the total sold
country (home economy) to be offered publicly in other participating countries (host economies) through locally licensed or regulated distributors upon approval as an ARFP fund and host jurisdiction