investment policies” means a provident fund which employs more than one investment policy, whether it is a single fund or a pooled fund; “single fund” means a provident fund established for employees of a

of sustainability-themed bonds. In addition, the SEC arranged the focus group session aiming to gather feedback from business operators and stakeholders on 28 March 2023. Most of the respondents

benefits, totaling 341,669 baht. In addition, Somchai arranged a suitability test for the client while giving information inconsistent with facts, and failed to ask the client to sign in acceptance of a

? written authorization. She also arranged payments for traded securities ordered by other individuals. Moreover, the SEC found that Meaunchit had requested to transfer trading transactions to the company?s

wrongful acts against RAM documents.The SEC found that {A}, then RAM managing director responsible for operation and management of RAM assets, arranged for RAM to sell its acquired shares of Kiatnakin Bank

having successful crowdfunding campaign. Furthermore, a pitch perfect session will also be arranged for entrepreneurs to meet and present their ideas with investors.     

or financial institution established under specific law; (10) the applicant is not in breach of any condition in complying with the terms and conditions. Clause 17 The applicant shall not have any of

functions are performed for any third parties or for the trustee, securities companies, commercial banks or financial institutions established under specific law, and shall include the person performing duty

institution established under specific law. Additionally, [the term of “authorized management person”] also means a person who is a member of a committee performing duty relevant to business management of

Capital Market Products Outside Intermediary’s Office ____________________ Clause 36 In this Chapter: “ stock exchange ” means the Stock Exchange of Thailand or a stock exchange established under foreign