Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for ref (UNOFFICIAL TRANSLATION) Readers should be aware that only the original
mutual fund only after the company has submitted an application for approval of such fund’s establishment to the Office. In case that the application for establishment and management of the mutual fund has
undertake derivatives business in the category of derivative broker which is limited to only debt securities under the Notification of the Securities and Exchange Commission on granting of approval for
business in the category of derivative broker which is limited to only debt securities under the Notification of the Securities and Exchange Commission on granting of approval for undertaking derivatives
investment management; Clause 3. The securities company shall advertise any mutual fund only after the company has submitted an application for approval of such fund’s establishment to the Office. In cases
advertisement. Chapter 3 Rules for Advertising ------------------ Clause 8. The securities company shall advertise any mutual fund only after the company has submitted an application for approval of such fund’s
On 3 August 2023, the SEC Board Meeting No. 12/2023 passed a resolution approving the principles and draft regulations related to application for approval and granting of approval for derivatives
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for