registered as securities business under the Securities and Exchange Act of 1992 and derivatives business under the Derivatives Act of 2003. List of licensed business can be found at License check If you have
2), which are intended to be listed for trading on a licensed digital asset exchange, must obtain approval for their offering from the SEC and disclose information as required. This includes filing
(2) Notification of the Capital Market Supervisory Board No. Tor Thor. 30/2568 Re: Custody of Client Assets of Licensed Derivatives Brokerage Agents (No. 5): https://publish.sec.or.th/nrs/10848s.pdf
inspections on the company’s business undertakings in its capacity of private fund management as licensed under Type C Securities Business License, it was found that the company: (1) had presented false and
Following the complaints from investors and the inspection reports from TMB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units
licensed private fund or mutual fund management company. ----------------------------------------------*Remark Institutional investors include:(1) Bank of Thailand(2) Commercial banks/ banks established
work with them in implementing the proposals on a phased basis, starting with investment consultants, research analysts and individuals who are licensed to carry out fund management activities. The ACMF
misconduct related to the offences of the investment consultants. Following an inspection report of {X1}, which is licensed to undertake securities business in the category of limited brokerage, dealing and
purpose of undertaking derivatives business in addition to the categories already licensed derivatives business license previously obtained, shall file the application as specified in accordance with