fund rating, it shall also comply with Clause 2/1: (1)4 providing a complete work system ready to undertake the business of investment advisory service approved by the Office, which includes an internal
, as the case may be. “ support system provider ”4 means a person approved to be a support system provider under the notification concerning support system provider . “ support system ”4 means support
the case may be. “support system provider”4 means a person approved to be a support system provider under the notification concerning support system provider. “support system”4 means support system
Earlier, the Capital Market Supervisory Board approved in principle the proposed amendments to the repo/reverse repo agreement regulations to allow securities companies to enter into repo/reverse
of SEC-approved digital assets or under SEC’s supervision. SEC therefore advises investors to be careful if solicited to invest in such products.Investors must be seriously aware of the risks
order was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved securities
market price causes the amount of approved underlying shares to be insufficient, the company shall be deemed to have been approved to issued additional underlying shares;2. Regulations governing shares
, the SEC suspended {A} for two months and {C} for one month from duty as an approved securities investment consultant. For {B} with his previous demerit record, the SEC suspended him from duty as an
Bangkok, November 2, 2011 - The Capital Market Supervisory Board approved revision on regulations on approval of personnel of capital market business operator in response to business practice and to