include a financial institution under other law and later obtain a license to undertake derivatives business; “Full-service Branch Office” means a derivatives broker’s branch office in Thailand that
) implementing the portfolio according to the asset allocation plan; (4) monitoring and rebalancing the portfolio; and (5) providing consolidated reports for customers’ review;2. The wealth advice service
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
The auditor expressed a qualified opinion on NRF’s interim financial statements for the third quarter of 2024 because the auditor was unable to obtain sufficient, appropriate audit evidence
category of securities brokerage, securities dealing, investment advisory services, securities underwriting, but shall not include a financial institution under other law and later obtain a license to
being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work operation, unless obtain a waiver
เวน้แตเ่ป็นกำรเสนอขำยโทเคนดจิทัิลทีอ่ำ้งองิหรอืมกีระแสรำยรับจำกอสงัหำรมิทรัพย ์( Real Estate https://www.sec.or.th/TH/Documents/ManualSelect/manual-050466-02.pdf manual-160965-01.pdf surveillance) โดย
Governance หรือ ESG) และด้านการติดตามดูแลการซื้อขาย การปฏิบัติตามกฎเกณฑ์ หรือการบังคับใช้กฎหมาย (Surveillance/Regulatory Compliance)2) การเพิ่มความยืดหยุ่นให้คณะกรรมการ ก.ล.ต. สามารถปรับปรุงหรือแก้ไขประเภท