securities without approval in the category of debenture in violation of Section 33 of the Securities and Exchange Act B.E. 2535 (1992). The SEC has therefore filed separate complaints against the four
investment planner, classified as a new category of regulated capital market personnel.
the category of derivatives brokerage which is securities company in the category of securities brokerage or securities dealing not limited to debt securities or investment units;” (3) “derivatives
category of mutual fund investment management or securities companies licensed to undertake securities business in the category of private fund investment management, as the case may be. Clause 2 The
the SEC Office to have important rules related to supervision of investment management equivalent to the rules governing securities companies licensed to undertake securities business in the category of
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
. 2551 (2008) hereby issues the following regulations: Clause 1 In this Notification: “ securities company ” means a securities company licensed to undertake securities business in the category of
. 2551 (2008) hereby issues the following regulations: Clause 1 In this Notification: “securities company” means a securities company licensed to undertake securities business in the category of securities
category of exchange-traded fund established under law of foreign jurisdiction; (2) “units of foreign ETF” means units of foreign ETF issued in form of shares; (3) “home exchange” means exchange in foreign