following categories: (1) securities brokerage, securities trading or securities underwriting; (2) investment advisory providing investment planning to clients or using software programs in providing services
its related person may be concluded when the following requirement are satisfied; (1) the transaction is in compliance with Clause 11(2)(a); (2) the transaction is authorized accordingly with the
that Sakorn solicited the person to purchase BSEC shares based on the insider information that OSK Investment Bank Berhad (OSKIB) in Malaysia was interested in buying BSEC shares from Bangkok First
in securities business or violates or fails to comply with Clause 10, the Office shall take actions against such person following the rules and procedures prescribed by the Notification of the
the following rules: (1) appoint persons whose name is on the register of persons qualified to be fund manager. In this regard, the management company shall appoint not more than one person from such
Date (Newest) Date (Oldest) HouseStyle come into force as from the day following the date of its publication in the Government Gazette. Section 3. In this Emergency Decree: “ cryptocurrency ” means an
, Section 43, Section 44 and Section 64 of the Constitution of the Kingdom of Thailand so permit by virtue of law, the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In
Clause 38 In case an intermediary wishes to analyze and provide consultation relating to the investment to its client , the intermediary shall comply with the following rules: (1) [i] arrange a person who