and Securities Dealing Which Are Not Debt Instruments dated 26 September 2000 and Clause 25/1 of the Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and
undertake securities business in the following categories of: (l) Mutual fund management; (2) Private fund management; or (3) Securities brokerage, securities dealing or securities underwriting but not
dealing or securities underwriting but not including brokerage, dealing or underwriting of securities limited to debt securities or investment units. Clause 2. A securities company shall undertake trust
to operate any of the following types of securities businesses – namely (a) securities brokerage, dealing, or underwriting, regardless of the types of securities, or (b) securities brokerage
Bangkok, April 4, 2013 ? The Southern Bangkok Criminal Court sentenced Ravi Pattiyawongse to a two-year imprisonment for conducting unlicensed businesses of securities brokerage and dealing under the
1 ผลการรับฟังความคิดเห็นจากผู้ท่ีเกี่ยวข้อง (hearing) หลักการ เร่ือง การยกเว้นให้การเผยแพร่บทวิเคราะห์ ภายใต้ ACMF Professional Mobility Framework ไม่เข้าข่ายการเป็นท่ีปรึกษาการลงทุน 1. การรับฟังความ
custodians under draft amendments to the Provident Fund (PVD) Act and within the securities trading framework. The Custodian Club consists of 13 members, including commercial banks engaging in fund supervision
The meeting agreed to resume discussion to develop mutual recognition framework to facilitate cross-border mutual fund offerings. The discussion was initiated in 2004 before later being halted. To
In March 2018, ACMF launched the ACMF Professional Mobility Framework to contribute towards investment consultation and analysis on cross-border products in ASEAN region which will facilitate