derivatives business operators, which provide services such as securities brokerage, securities dealing, investment advisory, underwriting, mutual fund management, private fund management and derivatives
securities business, including securities dealing, securities underwriting, proprietary investment and securities custody, have paid-up registered capital at the following different amounts
Bangkok, March 8, 2011 - The SEC is seeking public comment on the proposal to strengthen role of compliance unit of securities company in the category of securities brokerage, dealing and
any actions where conflicts of interest may arise, such as soft commission, related party transaction, proprietary trading and staff dealing. In addition, effective risk management system for
transactions due to differences in securities clearing houses; (2) practical steps and procedures for dealing with the case of default in securities clearing or settlement which is enforceable on other
brokerage, dealing or underwriting of investment units (LBDU); (8) Registration of members of provident fund/ unit holders of mutual fund should be prepared accurately and completely; (9) Every operation
in the category of brokerage, dealing or underwriting of investment units (LBDU); (8) Registration of members of provident fund/ unit holders of mutual fund should be prepared accurately and completely
unit dealing? (d) What is the procedure for automatic switching of investment units? (e) What are the procedures and restrictions on transfer of investment units? (f) By which channel can unit holders
Notification shall come into force on the following day of its publication in the Government Gazette. Notified this 13rd day of July 1996. Mr. Bodee Junnanon Chairman Securities and Exchange Commission