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 the Royal Thai Police (ECD Police). The SEC found that during December 17, 2013 ? January 9, 2014, Parin, then a trader of DBS Vickers Securities (Thailand) Co., Ltd., had front run his clients
Facebook "Smart Trader" : Unlicensed securities and derivatives business (Disclosure Date : 10/03/2022)
Smart Trader by Coach ตั้ม : Unlicensed securities and derivatives business (Disclosure Date : 01/09/2020)