Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best
Bangkok, February 29, 2016 ? The SEC has laid out a guideline for listed companies to simplify their proof of identity requirements imposed on shareholders or their proxies at the annual general
fund (ETF) listed on foreign market affecting net asset value (NAV) of domestic gold funds. AIMC guideline, although allows asset management company and trustee to jointly exercise their discretion to
collective investment scheme established in the ASEAN region that is approved and under supervision of the home regulator that is a signatory to the Memorandum of Understanding Concerning Cooperation and
securities business in the category of securities brokerage, shall apply only to the securities brokerage outside the Stock Exchange of Thailand. Clause 3/1.6 For the purpose of supervision the undertaking of
/1.6 For the purpose of supervision the undertaking of securities brokerage of securities company, the term “personnel” and “employee” under this Notification shall also include any person who is
. Division 3 Consideration of complaints and rule of practice for employees Clause 23. Repealed. Clause 24. A securities company shall have guideline for employees regarding securities trading control system
Conflict of Interest shall be in accordance with Chapter 3; (4) Supervision of Investment for Employees’ Assets shall be in accordance with Chapter 4. Chapter 1 Excessive Transactions for Clients
be in accordance with Chapter 3; (4) Supervision of Investment for Employees’ Assets shall be in accordance with Chapter 4. Chapter 1 Excessive Transactions for Clients _______________ Clause 5 2 In