securities company or derivatives broker for damage or loss incurred to client?s money and the business operator will be required to calculate value of instruments or securities in which client?s money are
required to conduct a knowledge test on investors before providing services to them. The consultation paper is available at https://bit.ly/3knvOOk. Stakeholders and interested parties are welcome to
, digital asset business operators in Thailand are required to obtain a license under the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018) and to be regulated by the SEC Office to ensure that
marketing officer incentives, the SET or the Association of Securities Companies (ASCO) will make the final decision because the SEC?s approval is not required for such business agreement. 2. Waiver of
required will be re-categorized to reduce redundancy and to accentuate key information. The proposed amendment shall also cancel the requirement of full version prospectus and, instead, require that the key
earlier ordered TSFC to increase its capital in the amount of not less than 279 million baht to maintain its legally required capital adequacy ratio according to BIS and prohibited the company from making
products (except for hedging purpose), multi-class unit trusts, complex return payment nor dissolution of fund before maturity. In applying for auto approval, asset management firms are required to provide a
Bangkok, February 6, 2013 - The SEC has instructed Thai Unique Coil Center Plc., (TUCC) to review and rectify its financial statements for the second and third quarters of 2012. TUCC is required to
carefully supervise their investment consultants to provide investment advice to their clients based on securities? fundamental factors. The investment consultants are also required to remind investors to