between Hong Kong and Thailand. More importantly, it will promote the competitiveness of local intermediaries in the international arena while enriching the types of fund products offered to investors.” Ms
, foreign issuers issuing baht bonds must seek approval from the SEC in accordance with the specified criteria, such as qualifications of foreign issuers, requirements on financial advisors and intermediaries
and responsibilities of intermediaries, and (3) promotion of investors? roles in perusing disclosed information before making investment decisions. The amended regulation is expected to promote entry of
) Intermediaries: Surveillance, monitoring, inspection and investigation of business operators and related capital market personnel;(5) Enforcement: Legal actions against the violators;(6) Toward international
Notification on Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries, dated 9 February 2026.
conducts, the SEC requires that intermediaries have operational procedure to ensure that investors are qualified as accredited investors as specified in the regulations. AI must have good understanding about
Derivatives Intermediaries ______________________ By virtue of Section 98(6) of the Securities and Exchange Act B.E. 2535 (1992) and Clause 5(1), in conjunction with Clause 12(3) and (12), Clause 14, Clause 30
Intermediaries ______________________ By virtue of Section 98(6) of the Securities and Exchange Act B.E. 2535 (1992) and Clause 5(1), in conjunction with Clause 12(3) and (12), Clause 14, Clause 30, Clause 37