Rules on Undertaking of Derivatives Business for Licensed Derivatives Advisors

Rules on Undertaking Derivatives Business for Licensed Derivatives Advisors

Determination of Paid-Up Registered Capital of Licensed Operators to Undertake Derivatives Business

established under other laws. The proposed revision includes the exemption of independent director rules for all licensed business operators, under the specified criteria. The qualifications of independent

Bangkok, January 22, 2014 ? The SEC is seeking public comment on proposed revision to the rules of customer contact and service for all licensed business operators to standardize the relevant

of research analysis by non-licensed business operators may be regarded as carrying out the investment advisory service business because such promulgation must only be made by a licensed business

to order or act duty resulting in Beyond’s engagement in any other business which is not a licensed securities business without permission from the Capital Market Supervisory Boards approval which

instruments, depending upon the customers? risk appetite. Licensed underwriting firms will be permitted to underwrite overseas financial instruments in Thailand while other licensed business operators will be

services for licensed business operators in Thailand.  The revised rules will support business capabilities for local players as well as enable them to gain further experiences in providing services to

is available at https://market.sec.or.th/public/idisc/en/InvestorAlert. Additionally, the list of licensed business operators is available at www.sec.or.th and the SEC Check First application