The web contents are categorized into five key menus featuring more convenient user experience and easier accessibility, namely (1) About Us, (2) Laws and Regulations, (3) News and Market Data, (4) Investors, and (5) Filing of Reports and Applications. There are also shortcuts to frequently searched information. In addition, the new website improves the public hearing channel by offering easier access to consultation papers and more convenient participation in the hearing process. The webs...

person who has authorized the management of the private fund using knowledge and competence as a professional. SEC Act S.134 paragraph 2 and paragraph 3 in conjunction with 133 paragraph 1 Criminal

The SEC Management introduces the new look of corporate website www.sec.or.th, featuring multi-device accessibility as well as more user-friendly experience for the public, investors and regulated

also like to set optional analytics cookies to help us improve it. We won't set optional cookies unless you enable them. Using this tool will set a cookie on your device to remember your preferences. For

management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the

management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the

firm – a. Undertakes only those engagements that the firm can reasonably expect to be completed with professional competence b. Appropriately considers the risks associated with providing professional

competence of investment in a variety of  products and enhancing intermediaries? competitiveness in preparation for the BOT?s Capital Account Liberalization Plan, the SEC has promoted dissemination of

turnover in busy season? 4 How does the firm address concerns regarding the competence and capabilities of engagement team members, including ensuring they have sufficient time to perform their

failure to keep complete record of the securities trading orders were deemed as failure to perform the duties with due care and professional competence under the Notifications of Capital Market Supervisory