, for further in-depth investigation. Remark:* SEC News No. 134/2025, headlined: “SEC issues warning about blocking access to Bybit, 1000X, CoinEx, OKX, and XT.COM platforms on 28 June 2025 to protect
inappropriate acts have been committed and consequently subject to correction measures such as SEC order of financial statements rectification, and SEC warning for the shareholders to exercise voting rights. The
investment. It must provide an appropriate warning to ensure investors are alerted to potential risks. The marketing campaigns must not induce or accelerate investment decision making with a lack of
ของ early warning ใหสะทอนคาความผันผวนของเงนิ กองทุนที่ตองดํารง และนยิามของหนี้สินพเิศษที่ไมตองนาํมารวมในการคํานวณเงินกองทุนสภาพคลอง สุทธิ ดังนั้น เพื่อใหบริษัทหลักทรัพยและตัวแทนซื้อขายสัญญาฯ
Printable Format - Laws and Regulations Investment Advisory |- Licensing/Ministerial Regulation |- Activities not deem to be classified as operating securities business |- Business Operation Rules
Printable Format - Laws and Regulations Derivatives Agent |- Definitions (Section 3) |- Licensing / Registration (Section 16) | - |- Licensing | - |- Activities NOT deem TO be classified AS operating
Intermediaries and professional Number of Companies 150 As of : 08 Mar 2025 Last Updated : 09 Mar 2025 Intermediaries and professional summary Number of Companies Classified by Type of Companies Download data
would be required to ensure that investors who are not legal entities classified as institutional investors, ultra-high-net-worth investors or high-net-worth investors take a knowledge test before
Personnel in Capital Market dated June 3, 2014; classified as prohibited characteristics of personnel in capital market according to Clause 31(1) of the same Notification. Meanwhile, {A}, then a branch
: Determination of Additional Determination of Types of Juristic Person Classified as Institutional Investor ; (3) derivatives fund managers; and (4) derivatives advisors. Division 2 Specific Regulations on