regulator of the recognized ACMF member will be exempted knowledge test on products and rules and regulations in the host country and subject to the specified scope of supervision, such as performance of

) preparation of the service agreement in respect of, for example, scope of conditions of service provision, customer’s rights, source of investment strategy; 3) availability of the appropriate personnel to

and inventory register in most of the items while the company could not provide clear explanation about cause of such discrepancy. Chanunkorn, however, did not expand his audit scope, assess possible

Notification concerning financial advisor approval and scope of performance which specifies that financial advisor supervisor must be responsible and perform duties with prudence and care in compliance with laws

conditions must be put in place. “This regulatory amendment will open up opportunities for interested entities to set up and manage a high yield bond more flexibly within a permissible scope. Once

of this facilitator rules, the SEC is also proposing that the Capital Market Product Trading Services with Limited Discretion According to Clients? Pre-determined Investment Scope rules be repealed and

ACL Securities Co., Ltd.were considered a contravention of the SEC Office Notification concerning financial advisor approval and scope of business which specifies that financial advisor supervisor must

2023 to introduce and clarify the scope and expectations of the Guidelines. On 30th January 2023, the SEC in collaboration with the UK Government and CDP will host a webinar on the topic, “Improved

outside the scope of supervision of the SEC is available at https://market.sec.or.th/public/idisc/th/InvestorAlert. For inquiries or reports of leads or suspicious acts, please contact SEC Complaint

be considered the undertaking of securities, derivatives, and digital asset businesses without licenses, including the services beyond the scope of granted licenses*, and may be subject to