Printable Format - กฎหมาย ประกาศ หนังสือเวียน วิธีปฏิบัติ Derivatives Advisors >> ลักษณะที่ไม่ถือเป็นการประกอบธุรกิจหลักทรัพย์ ประเภท เรื่อง มาตรา ดูเอกสาร วันที่ลงนาม วันที่มีผลใช้บังคับ 1. ประกาศ
e-service Online Submission Canceled document of topic "Derivatives Advisors" not found Contact The Securities and Exchange Commission, Thailand 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak
e-service Online Submission Derivatives Advisors >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission KorMor. 10/2559
to facilitate cross-border investment in the ASEAN region. SEC has already put in place rules permitting securities brokers or investment advisors to promulgate research analysis. The promulgation
DCA service providers and portfolio wealth advisors; (4) Updates on mutual fund-related activities: Providing information on trainings and seminars, and new mutual funds.Additionally
advisors as well as knowledge enhancement of securities firms and investor contacts regarding product features and clients? risk profiles. Meanwhile, the SEC is promoting investor education to help investors
operations.The requirement to appoint independent directors, however, will not apply to certain cases; for example, securities and derivatives investment advisors due to their relatively small size and few staffs
Bangkok, August 26, 2014 ? The SEC supports commercial banks and their subsidiaries to expand their businesses in relation to new capital market products by taking roles of financial advisors