this Notification “Management company” means securities company licensed to undertake securities business in the category of private fund management. “Manager” means a person assigned by director of a
Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of
provide securities trading service to the account owner or the written authorized person. The SEC and RHB OSK found that {ก} submitted a number of securities trading orders in several clients? trading
advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992
knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC
on suspicious unlicensed activities indicating that the aforesaid operators engaged in the business of managing funds for others or holding themselves out as derivatives fund manager and private fund
to the executives of the securities company licensed to undertake securities business in the category of mutual fund management for foreign investors or the exempted person under Section 103(7). Clause
person in charge of mutual funds? investment and might learn of the funds? investment information as well as those having duty to send trading orders. The business operator must seek the SEC approval for
(1) the changing IT usage in business practices, (2) the increasingly sophisticated technical approaches and mechanisms of cyber threats, (3) the revisions to preventive measures for addressing