e-service Online Submission Derivatives Advisors >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission 7/2560 16/02
e-service Online Submission See canceled document Derivatives Advisors >> Registrar and Licensing Type Title Section See Document Status Notified Date Effective Date 1. Act The Derivative Act B.E
e-service Online Submission See canceled document Derivatives Advisors >> Activities not deem to be classified as operating securities business Type Title Section See Document Status Notified Date
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) Board governance structure: Requiring DA operators – except DA advisors and the DA operators holding client assets at an amount less than 500 million baht and having less than 10,000 clients – to appoint
receive, which the investors can compare this information in the factsheet of each fund. The investors can also consult investment advisors to help analyze the information. Moreover, other types of
. ____________________Notes to the news• List of 26 business operators granted approval to be licensed wealth advisors is as follows:1. Seven securities companies, namely:(1) KTB (Thailand) Securities Public Company Limited
Advisors and Scope of Work. The SEC, therefore, has suspended the approvals of {X1} Securites and {A} as financial advisor and financial advisory supervisor throughout the remaining periods of their
Banking Club (IB Club), Association of Securities Companies (ASCO), noted, “Financial advisors (FA) have rigorously performed the duties of scrutinizing qualifications of Initial Public Offering (IPO
issuance and offer for sale of securities and the relevant professionals, for example, appraisers, and financial advisors; 4. Information regarding any action undertaken with the company applying for