reprimand, administrative fine, restriction of business operation, business suspension and license revocation, etc. In this regard, the scope of power of the order issuers varies depending on the level of
: Annual Registration Statements (form 56-1) and Annual report (form 56-2) Important information that must be disclose are, such as, Risk factors Type of operation Capital structure Management structure
statements. The scope of power and duties is clearly specified. Directors / executives must not have untrustworthy characteristics pursuant to the specified criteria and have their names on the database
handbooks and guidelines Related rules and regulations Related forms Regulatory Summary Duties Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors
handbooks and guidelines Related rules and regulations Related forms Regulatory Summary Duties Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors
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
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
standard in undertaking financial institution business or for professionals engaging in financial business; (11) has been suspended the business operation by the Thai or foreign authorities empowered to
association relating to securities businesses with the objectives of promoting the operation of securities businesses by the virtue of provisions under the Securities and Exchange Act B.E 2535 only. In so
. 60/2561 Re: Rules, Conditions, and Procedure for Outsourcing Functions Related to Business Operation to Third Party The Notification of the Office of the Securities and Exchange Commission No. SorThor