any person as a co-advertising producer, such person must be subject to supervision to comply with the relevant rules. On sales promotions, it must not persuade or urge investors to make investment
to improve their supervision and surveillance capabilities. This training will ensure the Thai market remains even with international counterparts; with a primary goal of preventing negative impact on
at www.sec.or.th and via SEC Check First application, while a list of unauthorized individuals outside the SEC supervision is also available at Investor Alert on the SEC website via https
shall comply with the guideline on operational control and information technology security of securities companies as prescribed by the Office. In the case where the securities company complies with a
Notifiaction with the same level of standard, the securities company shall comply with the guideline on operational control and information technology security of securities companies as prescribed by the Office
instrument shall state a supervision measure on the issuing company to ensure that its investment complies with (1) and (2) as if any such investment is made directly by the trust. Clause 11 The stipulation
derivatives contracts; “Foreign derivatives business operator” means any person undertaking derivatives business under the law of foreign country and under supervision of authority or agency which regulates
“Foreign derivatives business operator” means any person undertaking derivatives business under the law of foreign country and under supervision of authority or agency which regulates derivatives business in
derivatives contracts; 1“Foreign derivatives business operator” means any person undertaking derivatives business under the law of foreign country and under supervision of authority or agency which regulates