Exchange Act B.E. 2535 on 16 May 1992. The SEC Thailand has the centralized roles for supervision and development of both primary and secondary markets. This structure also facilitated issuance of new
objective of investment, financial condition or the demand of a specific client (specific advice), such intermediary shall assign the job to an investment planner pursuant to the Notification on Rules related
, financial condition or the demand of a specific client (specific advice), such intermediary shall assign the job to an investment planner pursuant to the Notification on Rules related to Capital Market
suspension imposed by the SEC shall remain one month, effective from January 8, 2015. Besides, {A} has been approved as an investment planner and held a position equivalent to a department director while the
planner, is suspended for eight months; (4) {E}, securities investment consultant and investment planner, is suspended for one year.Kasikorn Securities: (5) {F}, capital market investment consultant, is
Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the
the category of derivatives brokerage which is securities company in the category of securities brokerage or securities dealing not limited to debt securities or investment units;” (3) “derivatives
derivatives contracts; “Foreign derivatives business operator” means any person undertaking derivatives business under the law of foreign country and under supervision of authority or agency which regulates
“Foreign derivatives business operator” means any person undertaking derivatives business under the law of foreign country and under supervision of authority or agency which regulates derivatives business in