(1992); “Commercial Bank” means commercial bank under the law on commercial bank business. (Translation) -2- Chapter 1 Criteria for Approval to Use Derivatives Investor Contact Service Clause 3
of conduct specified by the SEC Office, or by the Association of Investment Management Companies with approval of the SEC Office; (3) the professional ethics and standards specified by the Association
Bangkok Zones where are under potential consideration and feasibility study to operate the branches by HHC own self or by third person permitted by HHC without any permission from WCIG SET shall be further
units of a mutual fund for which the intermediary has obtained a permission from the SEC https://publish.sec.or.th/nrs/6497pe.doc Translation the use of prepared electronic devices which such devices are
mutual fund for which the intermediary has obtained a permission from the SEC https://publish.sec.or.th/nrs/6497pe.doc Translation the use of prepared electronic devices which such devices are connected to
5644pe.doc documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given to customers and
) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice
Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional
misconduct was liable to violation or failure to comply with professional duties, which is a prohibited characteristic of capital market business personnel*. The SEC has therefore revoked the approval of
by: Relevance Date (Newest) Date (Oldest) English (United States) DigitalAsset Content Rules and Regulations List of licensed / approval digital asset business operator