Bangkok, October 6, 2015 ? The SEC is seeking public comment on draft rules governing business operators of investment services to customers in foreign currency denominated products which are offered
Commission Re: Guidelines for Application and Approval for Appointment of Person to be Director and Executive of Derivatives Business Operator B.E. 2553 (2010) _________ Whereas Section 24 of the Derivatives
หนาแฝง (Derivative - embedded Debt Instruments หรือ “Structured Notes”) ฝายกํากับธุรกิจจัดการลงทุน สํานักงานคณะกรรมการหลักทรัพยและตลาดหลักทรัพย ช้ัน 10 อาคารดีทแฮลมทาวเวอรส บี 93/1 ถนนวิทยุ แขวง
Board No. TorThor/Nor/Khor. 87/2552 Re: Qualifications and Prohibited Characteristics of Directors and Executives of Derivatives Business Operators (Codified) By virtue of Section 18 and the first
ก.ล.ต. และ/หรือสำนักงานคณะกรรมการ ก.ล.ต. ประกาศกำหนด และอาจลงทุนในตราสารที่มีลักษณะของสัญญาซื้อขายล่วงหน้าแฝง (Structured Note) กองทุนอาจพิจารณาลงทุนในหรือมีไว้ซึ่งสัญญาซื้อขายล่วงหน้า (Derivatives) เพื่อ
Institution Business; “Exchange” means the Stock Exchange of Thailand; “registered debt securities” means the debt securities registered with the Thai Bond Market Association; “Thai Bond Market Association
https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8811 SEC public hearing on proposed amendments to the digital asset business licensing process and draft regulations concerning creditability of
On 12 January 2024, pursuant to Section 35, Paragraph 1, of the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018) (Digital Asset Business Law), the SEC sent a letter to Zipmex ordering
(5)) |- Proprietary Trading |- Other Business Undertaken by Securities Companies |- Advertising (section 98(10)) |- Statutory Disqualifications for Management (section 103) |- Management Approval and
particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any