made only to institutional investor and high net worth investor with specified investment experience, financial status or income, (2) CIS operator must be subject to supervision of ASEAN capital market
ตั้งแต่ปลายปี 2562 ก.ล.ต. ได้ริเริ่มโครงการพัฒนาระบบโครงสร้างพื้นฐานดิจิทัล (Digital Infrastructure) ของตลาดทุนไทย โดยร่วมกับผู้พัฒนาและให้บริการระบบ (main operator) ซึ่งประกอบด้วย สมาคมบริษัทหลัก
advance notice, if the outsourcees are: financial institutions, subsidiaries of the business operator, audit firms where the SEC-approved auditors work, the Stock Exchange of Thailand or its subsidiaries
Bangkok, June 17, 2013 ? The SEC has reintroduced mobile application ?start-to-invest?, providing more information on new products, inflation-adjusted investment calculator and business operator
mutual fund under Thai securities law although utilizing different forms of instruments such as shares or trust certificates. Eligible CIS must be managed by CIS operator subject to supervision of ASEAN
Office of the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be Director and Executive of Derivatives Business Operator B.E. 2553 (2010) 01/02
Derivatives Business Operator B.E. 2553 (2010) 01/02/2010 01/02/2010 8. Notification of the Office of the Securities and Exchange Commission SorThor 50/2549 Rules on Waiver for Appointment of Independent
may outsource to a service provider under this Chapter are as follows except the cases under Paragraph 2: (1) management of client’s right and benefit; (2) risk management only if the outsource operator
) risk management only if the outsource operator is an affiliated company; (3) internal audit only if the outsource operator is an affiliated company or audit firm; (4) compliance function only if the