company or its client, as the case may be, is a market maker or a major participating investor under the requirements of such ETF. In this regard, the securities company shall comply with the rules as
investor in the European Economic Area ("EEA") or in the United Kingdom (the "UK"). For these purposes, a retail investor means a person who is one (or more) of: (i) a retail client as defined in point (11
case-by-case basis, by the Office, with the primary businesses in line with the primary business in which the mutual fund intends to invest, as specified in the investment policy; “Client” means person
-case basis, by the Office, with the primary businesses in line with the primary business in which the mutual fund intends to invest, as specified in the investment policy; “Client” means person or a
, the deposit and withdrawal system for money and digital assets , the client assets information system, the client contact and https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8748 SEC Thailand
custody of client assets. This is to promote flexibility in business operation while ensuring that supervisory guidelines are appropriate and comply with international standards. In addition, to enhance
conditions include: • significant changes in the client (such as ownership , management, nature of business or financial position https://www.sec.or.th/TH/Documents/Auditor/QAQR-04.xlsx
increase in gross profit for Baht 4 million. Main reason was both client retention and new client. Moreover, gross profit margin increased from 8.9% to 9.4%. 3. Both gross profit and revenue of Solar energy
routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading
services to a client, and (2) ongoing form for investment transactions such as subscription, redemption and switching. For further details of the public hearing, please visit https://www.sec.or.th/TH/Pages