Bangkok, May 13, 2013 ? The companies aiming to broker a variety of investment units offered by different asset management companies will be eligible to apply for Type D license. Certain requirements
for investment consultants.As a result, she was disqualified from being investment consultant under Clause 18(1) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re
Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No.4) B.E. 2551 (2008) and Section 9 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the
. 2535 (1992) as amended by the Securities and Exchange Act (No.4) B.E. 2551 (2008) and Section 9 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of
Bangkok, May 9, 2012 - The SEC urges businesses to join the ?Pride of the Province? project with a view to promoting real sector to maximize the benefits of the capital market. The SEC Board has
Capital Market Supervisory Board No. TorThor. 92/2552 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Foreign Securities (No.2) ----------------------------- By virtue of Section 16/6 and
information was insufficient for identification or verification.In addition, as the head of the company's Anti-Money Laundering Committee, he failed to take action when certain clients ordered transactions
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