mai. To promote and create opportunities for SMEs and startups to access new funding sources suitable for their business size, SEC and SET therefore collaborate to establish channels for SMEs and

be a proper way for IFEC to deal with the current situation so that shareholders who are the real owners of the company will have an opportunity to select candidates they deem suitable to become new

worth and higher risk-taking capability (non-retail investors). The qualified investors will be allowed to invest in complex instruments suitable for their risk profile while receiving appropriate level

The SEC supervises intermediaries? efficiency with an emphasis on risk management, suitable business model and risk profile of each securities house.? SEC Assistant Secretary-General Paralee

e-service Online Submission Derivatives Dealer >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission   7/2560    16/02/2017

of assets as a mutual fund (if any) shall be disclosed; (c) For which type of investment is the mutual fund a suitable choice? And for how long should investors invest in the mutual fund (in case the

: “ intermediary ” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “ affiliated

: “intermediary” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “affiliated

: “intermediary” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “affiliated

01/03/2017 2. Notification of the Securities and Exchange Commission  KorThor. 7/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer