duties with efficiency, fairness and transparency; focuses on promoting and developing the operation of the securities businesses. At present, three associations related to the securities business are as
in Thailand continuously for not less than 1 year; Having a manager and a person holding executive position responsible for the working field relating to asset appraisal who have knowledge and working
national economy. At present, there are six legislations administered by the SEC, namely: the Securities and Exchange Act of 1992 ; the Derivatives Act of 2003 ; the Trust for Transactions in Capital Market
following month, and within two working days from the date NC =< 1.5 times of minimum requirement Quarterly Reports Quarterly Complaint Handling Summary (Notification No. TorThor/Khor/Dor/Nor. 62/2552
also a team of knowledgeable and competent engagement partner and audit staff working together under a reliable audit quality control system of the audit firm. As such, the auditing must be carried out
accountability. The program must be approved by the board of directors. The SEC approves within ten working days Related Rules and Regulations The Notification of the Office of the Securities and Exchange
working together under a reliable audit quality control system of the audit firm. As such, the auditing must be carried out https://www.sec.or.th/EN/Pages/LawandRegulations
become the major shareholders approved by the present major shareholders of the digital asset operators A license for undertaking digital asset businesses An application form for approval of the
become the major shareholders approved by the present major shareholders of the digital asset operators A license for undertaking digital asset businesses An application form for approval of the
working paper which must be maintained as a record for a minimum of 3 years; Reporting to the SEC of any non-cooperation cases of the clients. Failure to report to the SEC will be deemed FAs' flaws