with ThaiBMA, which plays a crucial role in promoting and developing the bond market. The association’s responsibilities also include setting standards and practice guidelines for operating debt

businesses and entities in the Thai capital market. Our services include provision of information and advice on matters under the SEC's purview.  ​Complaints / Whistleblowers​​ Inquir​ies / Suggestions

: “intermediary” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company

: “intermediary” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company

will include new assessment questions, additional weightage for certain questions, particularly those on the Role of Stakeholders, and a streamlining of questions to place greater emphasis on practicing

ให้ลูกค้าที่ปรึกษาการลงทุนทราบ · (ข) หลักปฏิบัติในการให้คำแนะนำอย่างเป็นอิสระ (independence and objectivity) ( (ค) หลักปฏิบัติในการปฏิบัติต่อลูกค้าประเภทเดียวกันอย่างเท่าเทียมกัน (fair treatment) · (ง

(independence and objectivity) ( (ค) หลักปฏิบัติในการปฏิบัติต่อลูกค้าประเภทเดียวกันอย่างเท่าเทียมกัน (fair treatment) · (ง) หลักปฏิบัติในการรักษาความลับของลูกค้า การจัดเก็บและการควบคุม เอกสารที่เกี่ยวกับการเป็น

from the financial statements. 2. If interim financial statements are included in the registration statement, the selected financial data shall also include updated information for that interim period

for sale of investment units to increase registered capital of a mutual fund, the particulars and information required in paragraph one shall be up-to-date, and the prospectus shall also include the

refrain from taking certain actions. Examples of the covenants include a. prohibition on the payment of dividends if certain conditions are met in order to prevent depletion of the issuer’s funds that are