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
in the category of investment advisory service; (3) be able to show that its human resource will be prompt and adequate with a view to responsibility for investment advisory service. Where the
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business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign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
operational system will be prompt for operating securities business in the category of private fund management; (6) be able to show that its human resource will be prompt and adequate with a view to
that its operational system will be prompt for operating securities business in the category of mutual fund management; (5) be able to show that its human resource will be prompt and adequate with a view
system, record keeping system and system for making reports concerning venture capital management; (4) be able to show that its human resource will be prompt and adequate with a view to responsibility for
the category of private fund management; (6) be able to show that its human resource will be prompt and adequate with a view to responsibility for private fund management. Directors, managers and
capital management; (4) be able to show that its human resource will be prompt and adequate with a view to responsibility for venture capital management consideration on which shall be based on the company
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