accurate and updated records of clients’ assets; and (3) Seeking benefits from clients’ fiat money shall be prohibited except in the form of deposit with commercial bank(s). In this regard, digital asset
include listed securities and investment units of open-ended funds with daily redemption feature, except investment units with transferable restrictions. In any case, such repo transactions would have to
management companies must not charge the funds an advertisement fee, except that the advertisement is evenly beneficial to the funds and all unit holders. Also, the companies must not charge the funds for the
making decisions on investment in or disposing of securities or any other asset except real estate, leasehold interest in property or seeking benefits by other https://publish.sec.or.th/nrs/6263pe.doc
issuing shares for sale to the public and listed companies from operating business with the characteristics of investment company, except companies operating a financial institution business;** (2
complied with requirements in this Notification. Clause 4. Securities company shall not be allowed to provide trading service for units of foreign collective investment scheme except where the following
by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) stipulates that no securities companies shall engage in any other business which is not a licensed securities business, except when an
licensed securities business, except when an approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and
derivatives exchange shall pay the SEC Office Baht 2,000,000 annual fee for business undertaking within 31 January of every year except the first year of license, the licensee shall pay fee on effective date of