Business License to provide services related to equity instruments and Private Fund Management License. In addition, the amendment would allow intermediaries licensed to undertake private fund management

Due to the spread of the COVID-19 pandemic, securities companies and derivatives intermediaries have to allow their employees to perform duties from home and provide operational systems and

Bangkok, March 12, 2013 ? The SEC is seeking public comment on proposed regulatory revisions to increase the numbers of intermediaries for the sale of investment units and investment advisors in the

Today, development of technology is rapid and continuous. It disrupts development of services in the capital market. However, SEC views that many provisions in the Securities and Exchange Act B.E. 2535 (1992) and the Derivatives Act B.E. 2546 (2003) do not keep pace with these rapidly changing environments which may unintentionally limit the area that business operators can make use of technology, such as provision that requires business operators to disclosure its financial statements to...

& Derivatives Businesses (Section 98(4)) | - |- Engagement in Other Businesses (Section 98(8)) | - |- Selling Agents (Section 100) |- Internal operation of Securities Companies | - |- Proprietary Investment

)) | - |- Selling Agents (Section 100) |- Internal operation of Securities Companies | - |- Proprietary Investment (Section 98(7)) | - |- Accept purchasing or selling orders outside head office or branch

Other Businesses (Section 98(8)) | - |- Selling Agents (Section 100) |- Internal operation of Securities Companies | - |- Proprietary Investment (Section 98(7)) | - |- Accept purchasing or selling orders

/2553 Rules, ConditioRules, Conditions and Procedures for Appointment of Agents for Selling Investment ns and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of