therefore imposed the following sanctions: (1) Suspending approval for {A} as investment consultant for complex instruments type 1** and as assistant manager or an equivalent position for 15
the category of any intermediary or capital market products ; (2) issuing the Notification, by having obtained an approval from the Capital Market Supervisory Board, to allow exemption for some kinds of
) issuing the Notification, by having obtained an approval from the Capital Market Supervisory Board, to allow exemption for some kinds of intermediary not to comply with any requirement under this
Securities and Sales of Assets by Financial Institutions (Government’s Single-Account Scheme) The Bank of Thailand replaced the policy guidelines on loan transactions dated August 3, 2008, with its Policy
) “investor contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for investors, and are divided into two categories: Category A Investor
The SEC has received excellent results in the CRMS Assessment for the year 2023 from the PACC* in the areas of approval related operation, which demonstrated the SEC’s commitment to driving and
This is because the 20-year national master plan for 2018 through 2037 focuses on pushing forward and increasing the potential for SMEs, as they will help solve poverty problems and promote
company, asset management company, derivatives business, and financial institution or commercial bank receiving approval to provide services). The SEC proposal also aims at raising significance of
attempt to promote derivatives market development. The plan followed the Cabinet?s recent approval for inclusion of silver and platinum on the SEC list of 14 approved goods and variables under the