Capital Adequacy of Some Specific Intermediaries (No. 2) dated 20 February 2017. Clause 2 In this Notification: “intermediary” means an intermediary engaging in the business of investment advisory service
TikTok account "@yaowarat_service" impersonates YKT Gold Co., Ltd. : Unlicensed securities and derivatives business (Disclosure Date : 05/07/2024)
TikTok account service_sawakami impersonates Sawakami Asset Management (Thailand) Co., Ltd. : Unlicensed securities and derivatives business (Disclosure Date : 21/10/2024)
TikTok account sawakami_service impersonates Sawakami Asset Management (Thailand) Co., Ltd. : Unlicensed securities and derivatives business (Disclosure Date : 30/10/2024)
TikTok account "ohkajhu_service" impersonates "Pluk Phak Praw Rak Mae Plc." : Unlicensed securities and derivatives business (Disclosure Date : 14/01/2025)
regulations specified by the SEC and arrange for IT security audit and a penetration test by a knowledgeable and skilled auditor who is independent from the responsible IT Unit before commencing service
number of salespersons sufficient for providing services to investors, the new rule will pave the way for experienced staff to seek sales licenses provided that they meet certain conditions to maintain the
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
business operator after license revocation, and (6) stating the scope on supervision of infrastructure service providers in the capital market which would allow the operators to conduct their business