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...
operating the digital asset dealer business under Section 3 of the Emergency Decree on Digital Asset Businesses without license in violation of Section 26 and subject to the penalties under Section 66 of the
Division of the Royal Thai Police (ECD) for jointly operating the digital asset dealer business without license in violation of Section 26 and subject to the penalties under Section 66 of the Emergency
of derivatives shall be categorized according to their level of risk. The derivatives dealer shall also consider the purpose of investment and determine the appropriate quantity of derivatives
derivatives shall be categorized according to their level of risk. The derivatives dealer shall also consider the purpose of investment and determine the appropriate quantity of derivatives transaction of each
Determination of Undertaking not Deemed as a Derivatives Dealer