approval to offer debt securities for sale. This will allow the SEC to carry out a preliminary scrutiny of qualifications of issuers for investors. Disclosure – issuers are required to make complete and
international, and better facilitate Thai companies in cross-country raising funds. Independent Audit Inspection Activities Report 2022 Independent Audit Inspection Activities Report 2021 Independent Audit
Products (IC complex 1 / IC complex 2 / IC complex 3) Qualifications of Applicants for Approval of Investment Consultant on General Products (IC plain) Training Courses - New Courses (Examination
(Inspection of the director and executive's qualification on the company's request) (Form 35-E2) Letter of Request for Checking the Qualifications of Director and Executive (Inspection of the director and
company shall establish a system for redemption of investment units, and a system for examination of purchase or redemption of investment units. (2) Transfer of investment in investment units, as well as
types (1) The mutual fund management company shall establish a system for examination of purchase or redemption of investment units by unitholders. (2) The mutual fund management company shall not pay a
. The SEC will make an appointment for an on-site inspection of the work system 3. Filing the original documents: 3.1 Download an application form for approval of wealth advisors from the SEC's website