registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
liquidator under the first paragraph shall be given prior approval from the Office. Expenses and remuneration arising from liquidation of any mutual fund shall be paid from the assets of that mutual fund.
functions are performed for any third parties or for the trustee, securities companies, commercial banks or financial institutions established under specific law, and shall include the person performing duty
, the SEC promulgates regulations as follows: Clause 1 In this Notification: (1) “foreign ETF” means collective investment scheme in category of exchange-traded fund established under law of foreign
institution established under specific law. Additionally, [the term of “authorized management person”] also means a person who is a member of a committee performing duty relevant to business management of
Company Investment Advisory Company Derivatives Brokerage Derivatives Dealing Commercial Bank Life Insurance Company Trustee foreign juristic person / organization under digital asset business Funding
The Securities and Exchange Commission (SEC) organized the SEC Digital Services 2024 seminar under the topic “Digital Horizons: Shaping the Future of the Capital Market.” During the seminar, the SEC
. Such activities were in violation of Section 244/3 (1) and (2), the presumption under Section 244/5 and Section 244/6 of the Securities and Exchange Act B.E. 2535 (1992) (SEA), in conjunction with