Regulations SHARE : Detail Content Enforcement The SEC is a regulatory body that carries a mission to develop and supervise the Thai capital market to ensure efficiency, fairness, transparency, and
indicating cheat or dishonest, irresponsibility, reckless in respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; (5) be able to show that its
in respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; In case where shareholder under the first paragraph is a legal entity, its director or
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business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign
Thai capital market. Thus, the SEC has always put its best effort to supervise and improve quality of financial report to ensure that public disclosure of financial report is accurate, transparent
respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; (5) be able to show that its operational system will be prompt for operating securities business in
required to regularly supervise the service providers to ensure efficiency of the performance (except for group 2 functions). Applying for Approval and Reporting Guidelines No prior approval or