Appointment of an agent for selling investment unit or receiving requisition of investment unit redemption ___________________ Clause 4 In appointing a natural person to be an agent for selling investment units
___________________ Clause 4 In appointing a natural person to be an agent for selling investment units or receiving requisition of investment unit redemption, a management company shall appoint a natural person who
Développement (AFD), in collaboration with the Office of Natural Resources and Environmental Policy and Planning (ONEP) and the Thailand Environment Institute (TEI), with the objective of implementing financial
The Securities and Exchange Commission (SEC) held a meeting with the Department of Climate Change and Environment (DCCE), the Ministry of Natural Resources and Environment (MNRE), the Thailand
stakeholders regarding suspicious activities involving unlicensed securities companies, derivatives business operators, and digital asset business operators, including such business operators from abroad. These
Global Markets Ltd. (Navista) for operating derivatives business without license. Following the reports on their suspicious unlicensed derivatives activities, the SEC conducted raids on GISP?s office
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
examination on suspicious facts. Overall, the number of complaints against unlicensed securities or derivatives businesses is on a gradual decline, and 75 percent of the cases is beyond the SEC?s authority, for
advisors, and derivatives business operators are required to report suspicious transactions as specified by the law to the AMLO; which has the power to examine the report and information relating to