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
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business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign
serves not only as a fund mobilizing alternative for the public and private sectors but also an investment choice for all types of investors. The following diagram summarizes discrepancies and similarities
serves not only as a fund mobilizing alternative for the public and private sectors but also an investment choice for all types of investors. The following diagram summarizes discrepancies and similarities
Content Investment Consultant/Investment Planner Related Manuals and Guidelines Practical guidelines (Thai Version Only) Frequently Asked Questions ( FAQ ) (Tha i Version Only) R ules on
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
) Private Placement to High Net Worth Investors (HNW) Public Offering (PO) Approval Qualifications and approval rules - Applicable to the offering of bonds only. - For the offering of bonds, the
Business. Qualifications of each type of fund manager and market analyst can be found below; Types of Fund Manager Qualifications Fund Maneger (Thai Version Only) download PDF