/ INFRA / PROP Page Debenture Equity ESG Data Digital Asset Intermediary & Professional Intermediary https://secopendata.sec.or.th/Intermediaries/Professional SEC Search "virtual property" OR "digital real
in the units of a property fund or an infrastructure fund may be made; (5) investment in the units of a mutual fund for which the intermediary has obtained a permission from the SEC https
infrastructure fund may be made; (5) investment in the units of a mutual fund for which the intermediary has obtained a permission from the SEC https://publish.sec.or.th/nrs/6497pe_r.pdf -ร่าง- maturity; (4
must not have untrustworthy characteristics and must perform fiduciary duty; 4. Shares must be sold through an intermediary that is responsible for conducting know-your-customer screening
/ 18-2 Application for Establishment of Branch Office or Conversion of Online Branch Office to Full Branch Office Securities company / derivatives intermediary Name of Company
: “ intermediary ” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company
, Deputy Secretary-General, in charge of Legal Development and Enforcement; 2. Mrs. Paralee Sukonthaman, Deputy Secretary-General, in charge of Intermediary and Market Supervision, Investment Management
case that any party claims to be an intermediary, either as digital asset exchange, broker or dealer, SEC suggests that investors should verify their legitimacy via the list provided on the SEC
borrowing and lending, and joint venture management. As a result, any intermediary wishing to operate only brokerage business, for example, would have to meet the high minimum paid-up capital rule despite its
fund scheme is not allowed. In addition, should past success of any trigger fund is part of an advertisment, the responsible intermediary must also disclose accurate and complete information on all