client that, from the effective date to the closing of tender offer, the client was not allowed to purchase EIC securities by any means other than those specified in the tender offer. {A}'s conduct was

retail clients? assets, namely those undertaking securities business in the category of inter dealer-broker and venture capital management, are allowed to appoint any director to perform the duty of an

and recommendations on the following matters:1.Types of capital market transactions in which trust formation is allowed, so as to prevent improper use of trust as a means to hold assets in a manner that

businesses and mergers among securities firms in preparation for the upcoming securities business liberalization. Under the relaxed rules, the firms are allowed to categorize the accounts receivable incurred

allowed to apply for derivatives brokerage license limited to precious metals while licensed gold futures brokers will also be eligible to apply for such license to expand their brokering service to silver

knowledge and understanding of cryptocurrency. In case of unqualified investors, investment through a licensed digital asset fund manager would be allowed, and (2) Digital asset business operators would be

investable gold bullions, the qualifications of gold keepers and the requirements of their security system. In addition, the gold ETF would be allowed to undertake bullion lending business to enhance

specified, and such committees shall not be responsible for the day-to-day operation. A securities company not keeping its customers’ assets in its possession is allowed to establish any mechanism or

with the amendment to the Securities and Exchange Act. SET member and non-SET member securities firms will be allowed to trade listed securities outside the stock exchange only a case that trading is

: แบบคำขอลงทะเบียน https://www.sec.or.th/TH/Pages/OnlineSubmissionFilings/CA.aspx English (United States) GatekeeperFAQ .   Q: Pursuant to Section 89/15 and Section 89/17, is it allowed to keep important