investor of similar characteristic as the persons defined under section 3 of the Derivatives Act, B.E. 2546 (2003) or those mentioned in subsection (1) to (9) mutatis mutandis . Clause 2. This Notification
investor of similar characteristic as the persons defined under section 3 of the Derivatives Act, B.E. 2546 (2003) or those mentioned in subsection (1) to (9) mutatis mutandis. Clause 2. This Notification
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board
The prevention and management of conflicts of interests in investment management businesses is one of SEC’s important strategies because business structure in Thailand is characteristic of
SEC Office may reject an application: (1) an applicant or the offer for sale of units has the characteristic or meets the rules and conditions to obtain an approval according to this Notification, but
supervision and may pose a risk of scams. Concurrently, event organizers should exercise caution when allowing unlicensed business operators to set up exhibition booths, as this may inadvertently facilitate
ที่อยู่ระหว่างรอข้อมูลสำคัญ หรือเครื่องหมาย C (Caution) ในกรณีที่บริษัทจดทะเบียนเข้าลักษณะตามหลักเกณฑ์ที่กำหนด* เช่น• ส่วนของผู้ถือหุ้นมีค่าน้อยกว่าร้อยละ 50 ของทุนชำระแล้วหักส่วนต่ำมูลค่าหุ้น• ยื่น
. Persuasion to invest with falsely high return in a short period may be regarded as deception to investors. SEC would like to warn investors to take caution and inspect details before making an investment
caution when using services of securities business operators, derivatives business operators or digital asset business operators who have not obtained a respective license, as well as foreign digital asset