certificate, subscription form, etc. ● Contact evidence such as email and chat messages with the investment consultant, etc. ● Additional documents ( if applicable ) : Complaint letter to intermediary
, auditor, appraisal company, credit rating agency, representative of bond holders, and personnel in the capital market business, etc. There are two types of administrative actions taken by the SEC Office
if they will invest. The information such as types of business, objectives of fund mobilization, growth opportunities of the operation, major risks, etc. are outlined in the prospectus for public
, etc. The process of allocation of shares to sponsors The board of directors specifies the nature of favours The board of directors must specify the criteria for favours which benefit the company
, mobile phone numbers, email, addresses on identification cards, and gender, etc. The types of personal data the SEC Office will collect depends on the necessity of the SEC Office in the carrying out of
being temporarily banned from trading its listed securities under the Trading Suspension sign (SP), etc. and obtain approval from the shareholders' meeting on the offering of shares not less than one year
derivatives intermediaries with underlyings such as SET index, oil and precious metals (gold, silver, etc.); For the list of licensed securities companies, please click SEC Check First . For the list of
: organisations who pool funds of clients in collective investment vehicles. Asset Owners include Government Pension Funds, Social Securities Funds, insurance companies, Provident Funds, etc. Related Service
passwords by other persons, prohibition of social network sign-up or contact via SEC email addresses without prior approval of the SEC Office, etc. SEC Anti-Corruption Policy To assure that the SEC carries
: organisations who pool funds of clients in collective investment vehicles. Asset Owners include Government Pension Funds, Social Securities Funds, insurance companies, Provident Funds, etc. Related Service