forth by the SEC Board and supervise compliance and enforcement of the securities laws. The SEC Office is headed by Secretary-General who is appointed by the Cabinet upon the Minister of Finance’s
, supervise the capital market, for example, fund mobilization, products and services, related business operators, unfair securities trading activities in the capital market. The SEC revenue comprises fee
No. SorJor 38/2561 Re; Preparation of Report on Changes to the Securities and Derivatives Holding of Director, Executive, Auditor, Plan Preparer and Plan Administrator Public Offering (PO) Secondary
offence, the SEC Office may issue a written warning to the company against such improper act. Q: While under business rehabilitation by a plan administrator, is the company required to have an active
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
Management System) (ยื่นแบบแจ้งแต่งตั้งผู้เกี่ยวข้อง (EF2-4)) วิธีการใช้ระบบระบบแจ้งแต่งตั้งผู้เกี่ยวข้องในการนำส่งข้อมูลอิเล็กทรอนิกส์ คู่มือ EF-2 EF-3 คู่มือ EF-4 คู่มือ Account Administrator รายการ
, plan administrator and interim plan administrator under the law on bankruptcy. In case that such persons are a juristic person, it shall include relevant directors and executives of such juristic person
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business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign