brokerage license according to this Notification. A person who obtained license under the first paragraph shall comply with the conditions as specified in this Notification and shall provide service of
Notification and shall provide service of precious metal derivatives besides gold derivatives only when the SEC Office has conducted a review and acknowledged that such derivatives broker has qualified personnel
full-service branch office for such category of securities business, the Office shall permit the full-service branch office to also provide services for securities business in the category of private
full-service branch office for such (Translation) Page 2 of 3 category of securities business, the Office shall permit the full-service branch office to also provide services for securities business in
provide services for securities business in the category of private fund management to customers. Clause 5. Any management company wishing to establish a branch office shall submit an application to the
the rules of the connected transactions under category 5, regarding to provide financial assistance for an amount of THB 4.00 million. The transaction volume of over THB 1 million but less than THB 20
. This mainly due to the company (iiG) won a big project in Insurance Industry, Thai Life Insurance Plc., In addition to that, the company was able to continue to provide service to many existing customers
preceding public hearing, aims to provide PVD’s fund committees and members with comparable information to support their investment decision making, as well as to facilitate the use of the SEC’s open data for
.2) dated 13 June 2016 (effective on 16 July 2016). 2 (3) to explicitly provide a written term regarding the listed company’s obligation to compensate the TSRs holders who notify their intention to