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
must be clearly specified in order to avoid any doubt whether internal information is used to the benefit of the executives. The program must be administered by an intermediary, such as a securities
, 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
there are adequate measures to manage conflicts of interest; There is no reason to doubt that the management mechanism will be unable to protect the rights of the shareholders or to treat the shareholders
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
the SET 5. Other criteria Criteria for authorizing IPO The past five years record must not contain doubt that information in filing and application is inaccurate or incomplete, or that important
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business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign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
i.e. protection seller CDS; Please note that this is a non-exhaustive list of restricted assets. Hong Kong Covered Management Companies are encouraged to consult the SFC if in doubt on any issues. (As