derivatives investor contact service shall submit an application to the Office along with documents and details as follows; (1) Scope of using of derivatives investor contact service from service provider; (2
clients. Clause 4. Derivatives broker who wishes to use derivatives investor contact service shall submit an application to the Office along with documents and details as follows; (1) Scope of using of
requirements and the allocation of minimum hours tailored to the experience and types of IA; (2) To continue the requirement to complete no less than 15 hours of training or participation in
expanded investment scope. The SEC also held a session on 14 August 2024 to clarify these amendments for AMCs and relevant business operators. Under the new criteria, Thailand ESG Fund can invest in a
conducting a special audit with an expanded scope. The SEC has therefore allowed JKN to submit and disclose publicly the rectified and audited financial statements for the year 2023 and related reports via
in becoming the wealth advisor.The wealth advisor may choose to carry out the wealth advice services according to its business model within the scope of the license obtained and must have the
2023 to introduce and clarify the scope and expectations of the Guidelines. On 30th January 2023, the SEC in collaboration with the UK Government and CDP will host a webinar on the topic, “Improved
characteristics under the SEC Office Notification concerning financial advisor approval and scope of performance B.E. 2552. The SEC, therefore, revoked the financial advisor supervisor approval granting to {A}.In
office service from service provider as prescribed in Clause 3 shall submit an application to the Office along with documents and details as follows: (1) Scope of back office service from service provider
service provider as prescribed in Clause 3 shall submit an application to the Office along with documents and details as follows: (1) Scope of back office service from service provider; (2) Documents and