normal course of business, in consideration of a fee or other remuneration, excluding the brokers or agents who act in the manner as specified in the notification of the SEC. “digital asset dealer” means a
Procedures for Investment Advisors and Appointment of Investment Advisory Agents By virtue of Section 14, the second paragraph of Section 100 and Section 115 of the Securities and Exchange Act B.E. 2535 (1992
Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit Redemption and Marketing Representatives of Private Funds (Codefied
TorKhor. 35/2553 Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit Redemption and Marketing Representatives of Private Funds
of instruments while intermediaries and selling agents must have in place the procedure to ensure their clients? understanding of associated investment risks and returns before making investment
Appointment of Agents to Facilitate Passing on of Orders for Trading of Securities or Derivatives The Notification of the Office of the Securities and Exchange Commission No. SorThor. 1/2561 Re: Rules in
mutual fund selling agents ● Proposed to grant new mutual fund management license to increase a greater number of professionals ● Proposed to amend the Provident Fund Act for provident funds to invest
centers, brokerage firms and dealers for digital assets, effective from 16 July 2018. SEC Secretary-General Rapee Sucharitkul said that SEC has issued the notification relating to business operations of
businesses, B.E. 2561 on expectation to come into force on 16 July 2018.This notification will be enforced on those who will operate businesses as trading centers, brokerage firms and dealers for digital
. (PSEC) was 4.69% decreasing from 4.81% in 2016, ranking 5th from total 38 brokers. The consolidated net profit for the year 2017 totaled Baht 5,737 million, an increase of 3.4% from Baht 5,547 million for