approval to offer debt securities for sale. This will allow the SEC to carry out a preliminary scrutiny of qualifications of issuers for investors. Disclosure – issuers are required to make complete and
necessary to carry out their roles on the board and board committees. Principle 3.9 The board should ensure that it can perform its duties effectively and have access to accurate, relevant and timely
, and that intermediaries and their employees will carry out their operation responsibly pursuant to professional and ethical standards. · Criminal sanctions : The procedure can be carried out
, and that intermediaries and their employees will carry out their operation responsibly pursuant to professional and ethical standards. · Criminal sanctions : The procedure can be carried out
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business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign
dealings and fund management in a fund service platform which is carried out by Thailand Securities Depository Co., Ltd. (TSD); payment system infrastructure services for securities trading in the capital
terms of the derivatives contract specification, etc. Clearing House An important part of trading in securities and derivatives is to ensure that both counterparties will carry out their agreed
terms of the derivatives contract specification, etc. Clearing House An important part of trading in securities and derivatives is to ensure that both counterparties will carry out their agreed
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
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