: “ intermediary ” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company
, Deputy Secretary-General, in charge of Legal Development and Enforcement; 2. Mrs. Paralee Sukonthaman, Deputy Secretary-General, in charge of Intermediary and Market Supervision, Investment Management
case that any party claims to be an intermediary, either as digital asset exchange, broker or dealer, SEC suggests that investors should verify their legitimacy via the list provided on the SEC
borrowing and lending, and joint venture management. As a result, any intermediary wishing to operate only brokerage business, for example, would have to meet the high minimum paid-up capital rule despite its
fund scheme is not allowed. In addition, should past success of any trigger fund is part of an advertisment, the responsible intermediary must also disclose accurate and complete information on all
: Clause 1 In the case where an intermediary having outsourced the function which is investment management of mutual fund or provident fund or derivatives investment management to a foreign service provider
the case where an intermediary having outsourced the function which is investment management of mutual fund or provident fund or derivatives investment management to a foreign service provider who is
: “intermediary” means a securities company or a derivatives intermediary; “fund management company” means a securities company licensed to undertake securities business in the category of mutual fund or private
quarter of 2018 ( “4Q’18”) was THB 394 million, increased 7% yoy. Non-social security yoy revenue growth was highly 12% while social security revenue growth slightly increased. The non-social security
branches when compared to those of the year 2018 due to the bank’s plan for branches’ merger to align with the digital society. Information Security Management System Standards’ Certificate (ISO/IEC 27001