operators, please visit: www.sec.or.th or use the SEC Check First application. The SEC also publishes the list of unlicensed business operators on the Investor Alert at: https://market.sec.or.th/public/idisc

from an investor who is not a client of RHB and the SEC’s further investigation into the case, it was found that during June 2020 – May 2022, Phisit had solicited investors to open securities trading

and the issuance of rules on business operations, with a focus on investor protection.              (3) Modifications and amendments to other related principles. For example, revision to the

, and the trading of transferable custody receipts (TCR) to ensure proper investor protection, convenient diversification of international portfolios and effective development of this type of financial

. However, to enhance investor protection, the SEC Board has imposed on new branch openers a requirement of complaint handling system for dispute settlement with aggrieved customers. Those who have

ใช้นิยามผู้ลงทุนรายใหญ่พิเศษ (Ultra High Net Worth: UHNW) เพื่อให้สอดคล้องกับนิยามผู้ลงทุนรายใหญ่พิเศษในหลักเกณฑ์เรื่องอื่น ๆ แทนการใช้นิยาม Qualified Investor (QI) ตามหลักเกณฑ์ของธนาคารแห่งประเทศไทย

รายชื่อบุคคลที่มิใช่ผู้ประกอบธุรกิจภายใต้การกำกับดูแลของ ก.ล.ต. ได้ที่ investor alert ลิงก์ https://market.sec.or.th/public/idisc/th/InvestorAlert หมายเหตุ : * ข่าว ก.ล.ต. ฉบับที่ 257/2566 เรื่อง “ก.ล.ต

: Determination of Additional Determination of Types of Juristic Person Classified as Institutional Investor ; (3) derivatives fund managers; and (4) derivatives advisors. Division 2 Specific Regulations on

: Determination of Additional Determination of Types of Juristic Person Classified as Institutional Investor; (3) derivatives fund managers; and (4) derivatives advisors. Division 2 Specific Regulations on

directors of an investment advisory company to assume the highest responsibility in the management of the investment advisory company, regardless of the title; “investor contact”1 means any person who has