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
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
professional code of ethics of financial advisor, integrity, and commitment to going-concern business; having understanding and public accountability; having no prohibited characteristics such as being under
professional code of ethics of financial advisor, integrity, and commitment to going-concern business; having understanding and public accountability; having no prohibited characteristics such as being under