/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
Are Not Debt Instruments or Investment Units dated 3 August 2009; (3) The Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2553 Re: Rules, Conditions and Procedures for Brokerage and
consolidated financial statements, of Baht 3,058 million, a decrease of 6 percent compared to 2016, mainly due to a decrease in Brokerage fees income and gains and returns on financial instruments. The details
Securities Brokerage and Securities Dealing which are not Debt Instruments (Codified as of 25/10/2006) (Synopsis) 26/09/2000 01/01/2001 5. Notification of the Securities and Exchange Commission 18/05/1992
. Notification of the Securities and Exchange Commission KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt Instruments (Codified as of 25/10