operators in foreign jurisdictions/countries with their personnel giving investment advice. Under the governing rules and procedures, foreign business operators, having the prescribed characteristics and
contact ” means a person who performs duties in contacting, soliciting, giving advice or planning with respect to trading or investment in derivatives for investors. There are two categories of investor
contact” means a person who performs duties in contacting, soliciting, giving advice or planning with respect to trading or investment in derivatives for investors. There are two categories of investor
, claiming that the fund will be used to make investment in stock and derivatives exchanges. In addition, Yuttana held himself out as investment advisor, offered advice and obtained benefits from giving advice
approved exemption of application fee for an approval of public offering of shares and the Stock Exchange of Thailand (SET) to exempt the application fee for listing of ordinary shares as listed securities
States) DigitalAsset Content Rules and Regulations List of licensed / approval digital asset business operator SEC News relating to digital asset Investor Alert Rules
Rules and Regulations List of licensed / approval digital asset business operator SEC News relating to digital asset Investor Alert Rules and Regulations https://www.sec.or.th/EN/Pages/Shortcut
for his remaining approved status. The rest of suspension period was instead set as the period for acceptance of his re-application for approval as capital market personnel. The SEC's order has been in
No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 and Clause 23(3) of the