Bangkok, May 11, 2012 - Following news relating to the SEC?s criminal complaints recently filed against certain persons that raised question whether the complaints would impact those persons
forgetting password) คำถามที่ 1 / First Question คำตอบที่ 1 / First Answer คำถามที่ 2 / Secord Question คำตอบที่ 2 / Second Answer ตำแหน่งหน้าที่ผู้มีหน้าที่รายงานตามมาตรา 59 / Position ลำดับ ตำแหน่งตามประกาศ
Printable Format - Laws and Regulations Derivatives Dealer |- Definitions (Section 3) |- Licensing / Registration (Section 16) | - |- Licensing | - |- Activities NOT deem TO be classified AS
categorized by issues 2022 3 Action on financial statements of listed companies 2022 4 Action on approved persons 2022 5 Aggregate complaints data 2022 6 Investigations classified by types of offences
”)? Yes No If you answered “Yes” please skip to the question number 4.5 4.3 Is the audit oversight authority you registered with in the country that is recognised by the European Commission as equivalence
Printable Format - Laws and Regulations Investment Advisory |- Licensing/Ministerial Regulation |- Activities not deem to be classified as operating securities business |- Business Operation Rules
Printable Format - Laws and Regulations Derivatives Agent |- Definitions (Section 3) |- Licensing / Registration (Section 16) | - |- Licensing | - |- Activities NOT deem TO be classified AS operating
Intermediaries and professional Number of Companies 150 As of : 08 Mar 2025 Last Updated : 09 Mar 2025 Intermediaries and professional summary Number of Companies Classified by Type of Companies Download data
would be required to ensure that investors who are not legal entities classified as institutional investors, ultra-high-net-worth investors or high-net-worth investors take a knowledge test before
Personnel in Capital Market dated June 3, 2014; classified as prohibited characteristics of personnel in capital market according to Clause 31(1) of the same Notification. Meanwhile, {A}, then a branch