Bangkok, October 29, 2013 ? The SEC is seeking public comment on revising the rules to exempt institutional clients of registered derivatives dealers and derivatives fund managers from doing the suitability test. Due to their high level of sophistication, the institutional clients are considered capable of doing self-assessment; however, they may wish to opt in the coverage of suitability test in order to evaluate their portfolio investments and transactions. The proposed revision will also resu...
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e-service Online Submission See canceled document Derivatives Dealer >> Registration Type Title Section See Document Status Notified Date Effective Date 1. Act The Derivative Act B.E. 2546 16 03
Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities
e-service Online Submission See canceled document Derivatives Dealer >> Registered Companies Type Title Section See Document Status Notified Date Effective Date 1. Act The Derivatives Act B.E
) increase in Online sales by THB 412.52 million, (3) increase in Commercial sales by THB 114.06 million, (4) decrease in Dealer sales by THB 329.64 million, (5) decrease in Franchise sales by THB 153.09