providers must obtain approval from SEC, have a system in rendering the integrated service and provide services in accordance with the required standards;3. The wealth advice service providers must
Ministerial Regulation Re: Approval of Securities Business B.E. 2551 (2008), the Securities and Exchange Commission hereby issues the following regulations: Clause 1 The Notification of the Securities and
e-service Online Submission See canceled document IP/FG >> Appoint/Approval/Code of conducts and Standard Practices Type Title Section See Document Status Notified Date Effective Date 1. Act
Ministerial Regulation Re: Approval of Securities Business B.E. 2551 (2008) , the Securities and Exchange Commission hereby issues the following regulations: Clause 1 The Notification of the Securities and
Data > Intermediaries > Asset Management Businesses > Marketing Representative of Derivatives Fund Manager Market Data SHARE : Detail Content No. List of Licensees Approval Date 1 https
Exchange Commission No. SorNor. 62/2543 Re: Rules, Conditions and Procedures for Advertising of Securities Company Business for Sales Promotion and Providing of Services Related to Mutual Fund and Private
advertisement] that the mutual fund is under the Office’s consideration for approval of establishment and management. Clause 9. In case of advertisement of guaranteed fund or private fund with the same investment
fund is under the Office’s consideration for approval of establishment and management. Clause 9. In case of advertisement of guaranteed fund or private fund with the same investment policy, the