operator in the category of derivatives broker or derivatives dealer; (2) “SEC Office” means the Office of the Securities and Exchange Commission. Clause 2. An applicant for the registration as a derivatives
client’s account by using the passbook and withdrawal slips signed in advance by the client and kept by Somchai, at an amount higher than the ordered amount. He then used the excessive amount for his own
, including the mutual funds, private funds, and provident funds, is approximately 7.08 trillion Thai baht, or about 44 percent in comparison to the overall GDP of the country. Therefore, if there were any
The live webinar features special lectures and CEO panel discussion to share views and experiences on business management in compliance with respect for human rights principles. The seminar agenda
' Association, the Association of International Banks, the Thai Financial Planners Association, the Thai Investors Association and the Thailand Securities Institute in standardizing suitability test for
SEC Secretary-General Ruenvadee Suwanmongkol said: “Today, SEC has issued the Notification prescribing the standard single form for opening an account for investment in all types of capital market
into the case and found that {A} submitted trading orders for EIC securities on the client's behalf, during the period of tender offer launched by such client. In so doing, {A} failed to inform the
. In a move to restore capital market confidence, the cabinet approved an additional tax privilege for people who purchase investment units in Super Savings Fund (SSF) which invests not less than 65
announced a measure for temporary liquidity management by allowing asset management companies to borrow or enter into repurchase agreements at the maximum rate of 30 percent, instead of the usual 10 percent
Market Business (No. 7) dated 30 August 2017. ** Having prohibited characteristics in Group 2 under Clause 30(4)(a) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re