At present, securities and derivatives business operators (Thai business operators)* are allowed to provide services for Thai investors’ investment in foreign capital market products through business
the purpose of law enforcement according to the authority of the three agencies. This includes executing the case with the fined person in a criminal case in order to effectively seize property or
unlawful gains for himself or another person and causes damage to Solaris Asset Management Co., Ltd. and undermined investor confidence in the fairness and integrity of capital markets, which constitutes
approving persons in the capital market (natural person/juristic person); 1.2 The Enterprise Content Management System (ECM) of the SEC Office. 2. The SEC Office receives your personal data submitted via a
on derivatives or law on trust for transaction in the capital market; (3) “alleged person” means person against whom the SEC Office, based on its findings, preliminarily considers that [such person
with related person for the single fund in every case. In every case where transactions as specified in (1) to (6) are transaction without market price or using price which is not market price
company of private fund management company; (6) Transaction with related person for the single fund in every case. In every case where transactions as specified in (1) to (6) are transaction without market
equivalent instruments which related person is a financial institution and being an issuer or counterparty for the benefit to manage liquidity of fund; (2) Transaction in organized market via related person
; “ investment analyst ”9 means a person giving investment consultation to investors and eligible to analyze investment related to the value or appropriateness for trading or investing in capital market products
fund management, or derivatives investment management company; “fund” means mutual fund and private fund; “investor” means any person interested in investing in capital market products including