activities, yet the scope of SEC authority not covering risks and guarantees for losses from investment, nor compensations for damages incurred to investors in all cases. Other regulated regulators in the
, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
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business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign
Operators > Asset Management Regulations Regulations SHARE : Detail Content A Gathering of all Asset Management Regulations Regulated Entities ○ Licensing/Registration • Mutual Fund Management
ข้อมูลใน Library 'Site_Menu_Detail' กรุณาเพิ่มข้อมูลใน Library ดังกล่าว กฎเกณฑ์ SHARE : Detail Content นิติบุคคลที่ประกอบธุรกิจ (Regulated Entities) เกณฑ์การประกอบธุรกิจ ( Rules and Regulations ) นาย
Investment Consultant/Investment Planner Regulatory Summary Types and Scope of Duties Qualifications Training Courses Training Courses for Migration (for IC and IP approved before 1 Janurary 2018
: Determination of Paid-Up Registered Capital of Licensed Operators to Undertake Derivatives Business A Gathering of all Intermediaries Regulations Regulated Entities о Rules and Regulations / Licensing
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