Derivatives Broker Registered Derivatives Broker Securities Dealer Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company
Securities Dealer о Derivatives Dealer • Advisor о Securities Investment Advisors о Derivatives Advisors • Securities Underwriter • Limited BDU • Bond Dealer
By virtue of Section 4 of the Securities and Exchange Act B.E. 2535, Finance Minister by the SEC’s recommendation hereby issues the following regulations. Clause 1 In this Notification: “securities
the benefits thereof from one LTF to another LTF, shall be completed within five business days. (3) The criteria for dividend payment are different from other funds. The mutual fund management company
, brings about different outcomes, and can be applied on different levels. The supervisory mechanism covers three areas, i.e., self-discipline, market discipline and regulatory discipline. To create
Regulators (IFIAR), a multilateral and international forum that brings together independent audit regulators from different jurisdictions. The regulatory body wishes to be a member of IFIAR shall be
not entail risks. Each investor has different appetite and investment limits. In making an investment decision, investors should rely on their own examination of the securities. Equity Instrument
(example of such issues include operational issues such as a change of a mutual fund management company, or a fund supervisor); (B) A matter that affects unitholders in all classes with different degree