Offering of Funds Digital Asset Business Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process CG Thailand Public
securities brokerage, securities dealing or securities underwriting of investment units without undertaking custody of clients’ assets; (2) a securities company which obtains a securities business license in
brokerage, securities dealing or undertaking of investment units All mutual fund supervisors No. Nor Jor.(Wor) 6/2564 Re: Delivery of copies of notifications and clarificatory notes to the cross-border
category of mutual fund management All securities companies licensed to undertake securities business in the category of securities brokerage, securities dealing or undertaking of investment units All mutual
misconduct related to the offences of the investment consultants. Following an inspection report of {X1}, which is licensed to undertake securities business in the category of limited brokerage, dealing and
-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital
related to the transferring and receiving of digital asset transfers; (4) regulating stablecoin trading and exchange activities in line with foreign exchange (FX) transactions to prevent their use as
ใช้บริการจากบริษัทนายหน้าซึ่งเป็นบุคคลที่เกี่ยวข้องของบริษัทจัดการ 12 ส่วนที่ 6 การควบคุมดูแลการลงทุนเพื่อเป็นทรัพย์สินของพนักงาน (Staff Dealing) 13 ส่วนที่ 7 การดูแลการลงทุนเพื่อเป็นทรัพย์สินของบริษัท
/ FWD LIFE INSURANCE PUBLIC CO.,LTD. PHILLIP LIFE ASSURANCE PUBLIC CO.,LTD. TOKIO MARINE LIFE INSURANCE (THAILAND) PUBLIC CO.,LTD. List of company licensed Securities Dealing (Securities Company) ชื่อย่อ