instruments or financial transactions: (1) shares of an investment company; (2) unit trust certificates; (3) instrument or evidentiary documentation showing the right in the assets of foreign collective
/RoyalEnactment/enactment-digitalasset2018.pd... (Translation) arising from or related to its use. (1) treasury bills; (2) bonds; (3) bills; (4) shares; (5) debentures; (6) investment units which are instruments or
/enactment-digitalasset2018.pd... (Translation) arising from or related to its use. (1) treasury bills; (2) bonds; (3) bills; (4) shares; (5) debentures; (6) investment units which are instruments or evidence
types of securities business license, namely (1) Type E Securities Business License* for equity instruments, and (2) Private Fund Management License. The proposed amendment aims to increase choices of
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
Some business operators wish to provide services of specific securities business, for example, brokerage, dealing and underwriting of equity instruments or private fund management, but are unable to
According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a
securities has selected in the Universe of ESG 100 securities group of 2018. Results of the Quality Assessment of the Annual General Meeting of Shareholders Thai Investors Association had assessed the Annual