of Thailand issued regulations and supervised business operation of securities companies. The Stock Exchange of Thailand oversaw members’ operation pursuant to the rules drafted by the Bank of Thailand
means any legal entity obtaining the license to undertake securities business which is not: (1) any legal entity supervised by any other governmental agencies before obtaining securities business license
and professionals Carrying out businesses with greater flexibilities; getting supports for strengthening competitiveness; being assured of stability of the systems monitored and maintained to
charge; otherwise, a civil lawsuit is an option. The SEC has no authority to handle a claim for compensation or proceed with a civil dispute. Should you need legal advice on such matters, please contact a
statements) or audited (annual financial statements) by an SEC-approved auditor which are monitored and reviewed by the SEC on a quarterly basis to ensure that investors will obtain accurate and complete
approval. However, if a mutual fund management company files an application for automatic approval not in compliance with the specified conditions, the SEC may proceed with one or more of the following
Minister’s approval under Clause 6, the approved person shall proceed with establishment of new limited company or public limited company for operating securities business in the category of private fund
, approved person shall proceed with establishment of limited company or public limited company to undertake securities business in the category of inter - dealer brokerage. Newly established limited company
, however, the public relations department may be responsible for the job. In such case, must the job be transferred back to the company secretary? And how should the company proceed? A: By law, the company