materially inappropriate demeanor affecting clients, investors, the company, shareholders as a whole, money market or capital market on a whole as specified as prohibited characteristic in Group 3 under Clause
Annual Report 2010 ANN UAL REPORT 2010 SECURITIES AND EXCHANGE COMMISSION, THAILAND ASEAN ECONOMIC COM MUN ITY Vision S = Setting High Standard E = Ethical C = Committed Pro = Professional Mission Core value: SEC-Pro The SEC develops and supervises the Thai capital market to ensure efficiency, fairness, transparency and integrity. The SEC is to establish the Thai capital market as an important alternative for investors and fund raisers with an efficient mechanism for investor empowerment and, in...
, which had high gross profit margin, was completed in 2016. Retail business In 2017, the Company has gross profit of Baht 923 million, which is increased by Baht 208 million or 29% compared to the gross
KTBST SECURITIES PUBLIC COMPANY LIMITED 2,748.74 36.16 LGT Bank AG, Hong Kong 4,430.44 58.29 UOB KAY HIAN SECURITIES (THAILAND) PUBLIC COMPANY LIMITED 422.15 5.55 รวม 100.00 รายละเอยีดเกีย่วกบัคา่นายหนา้
securities company licensed to undertake the securities business in the category of securities brokerage or securities dealing or securities underwriting; (2) a person licensed to undertake the derivatives
Securities and Exchange Commission concerning Exemption from the Provisions on Public Offering for Unit Offering of Foreign Collective Investment Schemes; “intermediary” means: (1) a securities company
the owner or beneficiary of a collective investment scheme established under foreign law, either in the form of company, trust or any other form. Clause 3 A licensee shall pay to the SEC Office a fee
the owner or beneficiary of a collective investment scheme established under foreign law, either in the form of company, trust or any other form. Clause 3 A licensee shall pay to the SEC Office a fee
อนุญาตตามขอ 12 เปนบริษัทมหาชนจํากัดที่ประกอบธุรกิจ โดยการถือหุนในบริษัทอื่น (holding company) และไมมีการประกอบธุรกิจอยางมีนัยสําคัญเปนของตนเอง ผูขออนุญาตตองแสดงไดวามีลักษณะเปนไปตามหลักเกณฑดังต
ASEAN non-IOSCO/WFE ตามแต่ละ ประเภทของกองทุน เป็นดงัน้ี กรณี MF PF และ PVD ใหจ้ ากดัการลงทุนใน ASEAN non-IOSCO/WFE อยูใ่นอตัราส่วน junk limit กล่าวคือ (1) Company limit : ทั้งกรณีตราสารท่ีจดทะเบียน