work system 3. Filing the original documents: 3.1 Download an application form for approval of wealth advisors from the SEC's website. Make corrections in the form as advised by the SEC after the
work system 3. Filing the original documents: 3.1 Download an application form for approval of wealth advisors from the SEC's website. Make corrections in the form as advised by the SEC after the
from the fund under the following conditions: 4.1 The mutual fund is converted upon the expiration of the original scheme; 4.2 The unitholders received the investment capital and the returns upon
from the fund under the following conditions: 4.1 The mutual fund is converted upon the expiration of the original scheme; 4.2 The unitholders received the investment capital and the returns upon
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
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
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business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign
increase by more than 25% of the original rate for the latest guarantee period, the mutual fund management company can make such an arrangement after having obtained special resolution of the unitholders. (3
increase by more than 25% of the original rate for the latest guarantee period, the mutual fund management company can make such an arrangement after having obtained special resolution of the unitholders. (3
not becoming an empty box (without business operations). The intermediaries are required to regularly supervise the service providers to ensure efficiency of the performance (except for group 2