authorization before beginning any other activity.The SEC therefore proposes to amend the rules governing the undertaking of other businesses according to the resolution of the Capital Market Supervisory Board

have a written authorization from investors only.__________________Notes:*  Pursuant to Clause 23(2) and the prohibited characteristics of personnel in the capital market business under Clause 31(1

authorization. According to the conversation recorded, {B} had sent trading orders before notifying her client or sent out selling orders against of the client's instruction. {B} admitted that she had acted as

with them. Some even gave authorization for the companies? staff to submit trading orders on their behalf.The said actions were deemed as undertaking derivatives business without license in contravention

authorization from his client and made SBL trading decisions for the client when there was profit or risk with the client's account. He then informed his client via telephone with regard to the profit and loss on

and ethic as well as deny any clients? authorization to trade securities or derivatives on their behalves."

member jurisdiction to offer CIS constituted and authorised in that jurisdiction ("ASEAN CIS") to retail investors in other member jurisdictions under a streamlined authorization process. The signatories

เอกสารรับฟังความคิดเห็น เร่ือง การผ่อนคลายหลกัเกณฑ์การลงทุนของกองทุนรวมทีเ่สนอขายต่อผู้ลงทุนทีม่ิใช่รายย่อย (Accredited Investor) ให้สามารถลงทุนในสัญญาซ้ือขายล่วงหน้าได้โดยไม่จ ากดัอตัราส่วนการลงทุน

Management of Retail Funds,Mutual Funds for Accredited Investors, Mutual Funds for Institutional Investors and Private Funds (Synopsis)   17/12/2015 16/01/2016 2. Notification of the Office of the Securities

Exchange Commission No. Sor Nor. 29/2566 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, and Mutual Funds for Institutional Investors (No. 7