entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the Thai capital market. Thus, the SEC has always put its best effort to supervise and improve quality
mission to develop and supervise the Thai capital market to ensure efficiency, fairness, transparency, and integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure
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business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign
/ disclosure while possessing inside information Presumtion on persons, who trade securities or enter into a derivatives contract in a different manner from their normal practice while know or possessing
/ disclosure while possessing inside information Presumtion on persons, who trade securities or enter into a derivatives contract in a different manner from their normal practice while know or possessing
Saving Bank, foundations or monasteries, and the like; (3) Investors in the investment units of ASEAN CIS offered for sale overseas with foreign nationality (normal persons/juristic persons) or via
Saving Bank, foundations or monasteries, and the like; (3) Investors in the investment units of ASEAN CIS offered for sale overseas with foreign nationality (normal persons/juristic persons) or via
not becoming an empty box (without business operations). The intermediaries are required to regularly supervise the service providers to ensure efficiency of the performance (except for group 2
trustee is entrusted with powers to oversee and administer assets of the trust in interests of the unitholders, who are the beneficiaries of the trust. A REIT is regulated under 2 major laws: 1. The Trust
under its responsibility Ensure that units offered for sale exclusively for high net worth investors are not allocated to retail investors Oversee to ensure that the trust is not becoming a private trust