e-service Online Submission See canceled document Derivatives Advisors >> Capital Adequacy Requirements   Type Title Section See Document Status Notified Date Effective Date 1. Notification of the

exchange. The two parties also discussed the enhancement of fundraising supervision and the roles of financial advisors to ensure that the aforesaid companies will be able to grow sustainably while complying

ในการจัดพอร์ตการลงทุนแบบออนไลน์โดยใช้โปรแกรมคอมพิวเตอร์ (robo-advisors) นางทิพยสุดา ถาวรามร รองเลขาธิการ ก.ล.ต. กล่าวว่า ในปัจจุบัน ก.ล.ต. ทั่วโลกต่างปรับตัวรองรับความก้าวหน้าทางเทคโนโลยี โดยนำนวัตกรรม

Securities and Exchange Commission  Kor Thor. 4/2561 Maintenance of Capital of Investment Advisors and Derivatives Advisors   17/01/2018 01/04/2018   Notification of the Office of the Securities and

Mr.Yingyong Nilasena, directors and advisors, together with members of the Shareholders’ Proxy Volunteer Club, to discuss collaboration in developing and enhancing the protection of shareholders’ and

Bangkok, October 31, 2013 ? The SEC is seeking public comment on revising the rules to exempt independent directors? requirement of licensed derivatives advisors and authorized financial institutions

investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives

Issues and Challenges” under the Strengthening Corporate Governance of Listed Companies Initiative. The seminar aimed to reinforce the role of financial advisors as gatekeepers in preparing companies for

creditors; "terms and conditions" means the provisions governing the rights and obligations of the issuer and holder of bonds; "financial advisors" means the financial advisors that are on the list approved

securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many