to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a
to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a
; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a securities company, Bank of Thailand or licensed to undertake securities business
-making.Meanwhile, certain rules governing advertisement and sale promotion of mutual funds are also being revised to enhance clarity and flexibility.The SEC supports intermediaries in their offering of diverse
Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules governing financial advisors (FA) to enhance more clarity of rules and promote FA independence. The proposed revision
securities and derivatives business operators. The revisions will provide a compilation of rules presently specified in a number of notifications for more clarity and appropriateness. According to the proposed
offer for sale of newly issued debt securities*, and 3) bills that are not securities. To enhance regulatory clarity and consistency with business practices of the private sector, the SEC is proposing to
office] from the work units and personnel responsible for post-trade operation [back office], and shall arrange for the personnel responsible for securities trading to submit a report on securities trading
responsible for post-trade operation [back office], and shall arrange for the personnel responsible for securities trading to submit a report on securities trading to the work unit responsible for post-trade
recording device. Clause 17 A securities company shall not trade securities by using inside information in such a way that takes advantage of outside persons or disclose such inside information for other