and approved by the Minister of Finance. Fund mobilization The Ministry of Commerce was responsible for registration of prospectus for securities offering of public limited companies and acted as the
embezzlement by listed company’s executive(s). ● Name of executive and related person/name of company. ● Name of the authorized person. ● Payment documents of the company. ● Bank account of the executive(s
because the compliance unit is authorized to monitor staff operations according to the relevant rules and regulations, including complaint handling, coordination and reporting to the SEC in case of matters
matters under its supervision in accordance with the governing laws . Conducts liable to the supervision include duty performance of market participants such as securities issuers,approved securities
(United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g., investment consultants 1 and listed companies 2
English (United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g., investment consultants 1 and listed companies 2
://www.sec.or.th/TH/Documents/AboutUs/KeyPerformance-2566.pdf English (United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g
supervising securities businesses; 3. The SEC Office implementing policies, inspecting licensed/approved corporations and individuals, and developing financial products. Meanwhile, the Audit Committee
://www.sec.or.th/EN/Pages/ABOUTUS/SEC_VUTTIKRAI.aspx English (United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g