or permanent basis. In this regard, the SEC Office may prescribe other conditions for the derivatives broker to comply with. Clause 10. The derivatives broker shall procure personnel who are
....................................................................................................................................................... ....................................................................................................................................................... ....................................................................................................................................................... ( - Specify the key features of th...
obligation: 24 January 2020 2.1 (X) Acquisition ( ) Disposition ( ) Through the Stock Exchange of Thailand via a securities company: Thai Securities company Foreign Securities company Big lot (please specify
acquisition / disposition วิธีการไดมา2/ จําหนาย3/ Method of acquisition/ disposition ไดมา/จําหนายผาน บล. ……….. Transaction made through (specify broker’s name) ผูซื้อ/ ผูรับโอนหลักทรัพย โปรดระบุชื่อ
) Attention: Secretary General, the SEC Office Whereas I, Passport Number : Expiry Date : will be appointed by [specify company’s name] , having its principle office located at Tel. as the company’s director
); and 2. Specify penalties for violations or non-compliance with the criteria concerning electronic securities (amending Section 273 and Section 317 and adding Section 275/1 and Section 275/2).The
financial innovation, and emerging and cross-border regulatory development, aiming to further specify more consistent rules and regulations.
to investment loss. The SEC is therefore proposing to specify the qualifications of cryptocurrency investors to ensure proper investor protection mechanism in consistent with the level of risk
additional client information; - The provision of services relating to investment analysis and consultancy so as to specify the plan for investment allocation for clients by distributing investments in
must work full-time in Thailand and have specified educational background and working experience. Business operators will also be required to specify, in writing, clear responsibilities of compliance