to the following rules: (1) In case of a natural person, the management company shall appoint a person approved by the Office pursuant to the Notification of the Office of the Securities and Exchange
a juristic person as its representative pursuant to the following rules: (1) In case of a natural person, the management company shall appoint a person approved by the Office pursuant to the
considered.*** In determining the aforementioned period, the SEC has taken into account the following factors: relevant roles, behaviors of the person under consideration, any penalties already imposed
wishes to maintain the approval status, such person must take a refresher course and pay the renewal fee every two-calendar year period at the amount of 1,000 baht in case of investment consultant
in this Chapter shall not be applicable to the following clients: (1) institutional investor; (2) ultra-high net worth or high net worth investor having status as a juristic person with a statement of
to proceed in the same direction in compliance with the Notification on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1
Re: Rules, Conditions and Procedures for Brokerage and Dealing of Foreign Securities dated 28 May 2008 shall be repealed and replaced with the following provision: “Clause 1 In this Notification
43 and Section 45 of the Constitution of the Kingdom of Thailand so permit by virtue of law, the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In
the following regulations: Clause 1 In this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; (2) “market maker of