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
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
Content Intermediaries Regulatory Summary Outsourcing Activities Appointment of an Investment Advisor (IA) according to Section 100 Paid-Up Registered Capital Audit Committees of
shareholder in accordance with the form specified by the SEC Office as follows: (1) in case where any person would be major shareholder because company increased its capital, securities company shall file an
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relating to asset appraisal regarding capital market transaction is significant and has impact on making investment decision of the public, appraisal requires a knowledgeable, capable and responsible person
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: Detail Content Equity Instruments Shares Related Rules and Regulations The Notification of the Capital Market Supervisory Board No. TorJor. 39/2559 Re: Application for Approval and Granting of