. 4. Investments in securities An investment in debt instrument means an investment in a contract showing that the instrument issuer has both directly and indirectly obligation to pay cash or other
securities An investment in debt instrument means an investment in a contract showing that the instrument issuer has both directly and indirectly obligation to pay cash or other asset to the instrument holder
securities business supervision: For example, repeal of the minimum requirement of paid-up registered capital of securities company, allowing the SEC Board to use discretionary power to prescribe required
improving the overall licensing scheme and provided observations and suggestions on important issues. The SEC has incorporated such feedbacks to revise the principles for more appropriateness. For example
markets. The draft notification also specifies the details of the service agreements, for example, the provision on receiving client orders, where the business operators and the clients can agree on the
bigger than that of SME pursuant to the Law on SME Promotion (for example, a company with revenue more than 300 million baht in the trading and service businesses) are eligible to raise fund by issuing and
the key issues include competent personnel, professional code of conduct, effective risk management and sound financial condition.? ?Take client acceptance process, for example. It must cover the know
listed company requires different identification documents from the shareholders at the AGM, especially those who are foreign juristic persons. For example, some companies may require a certificate from a
ever-growing asset management business by, for example, relaxing several requirements. In so doing, appropriate investor protection is maintained, and more investment choices promoted.? Such amendments