intermediaries and professionals in capital market such as financial advisors, auditors and securities companies in term of expansion of their businesses throughout the country.?From the introduction of the first

The current criteria require investment analysts (IA) seeking renewal of their approval to undergo a knowledge refresher by completing training or participating in eligible activities for no less

Rules on Undertaking of Derivatives Business for Licensed Derivatives Advisors

Rules on Undertaking Derivatives Business for Licensed Derivatives Advisors

Investment Advisors and Appointment of Investment Advisory Agents dated 14 September 2001 as amended by the Notification of Securities and Exchange Commission No. KorKhor. 20/2548 Re: Rules, Conditions and

drafted relevant regulations, with the key points as follows:   (1) To revise the refresher criteria for IA to include a minimum number of training hours required for the course, in alignment with the roles

The Securities and Exchange Commission (SEC) organized a dynamic training program to enhance essential knowledge and investment insights for financial trainers. SEC Secretary-General Pornanong

Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital

) 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

Debt Securities dated 3 August 2009; (5) Clause 7 of the Capital Market Supervisory Board No. TorKhor. 68/2552 Re: Rules, Conditions, and Procedures for Investment Advisors and Appointment of Investment