upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
, conditions and procedures as specified in the notification of the SEC upon the recommendation of the Bank of Thailand.
specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.
the Notification of the SEC Office regarding Approval of Auditors; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I
institution established in accordance with other laws, and after having obtained a license from the Minister upon the recommendation of the SEC. The formation of a limited company or of a public limited company
in making an investment or other decision. This presentation should not be viewed as a current or past recommendation or a solicitation of an offer to buy or sell any securities or to adopt any
in all respects under Clause 11, within ninety days from the date on which the SEC Office receives the complete application and supplementary documents, the SEC shall give recommendation to the
regulatory objectives include: to maintain and promote the fairness, efficiency, competitiveness, transparency and orderliness of the securities and futures industry; to help the public understand the
employees understand their responsibility for appropriate behaviour. There should be appropriate board level and staff training in all aspects relating to corporate culture and ethics. Due diligence and
) Provide support to help align the Company’s practices and processes with the SDGs (2) Build capacity within the Company to better understand IMM and approaches of integrating inclusivity and sustainability