? pre-determined investment scope.The proposed rules have taken into consideration the public?s and stakeholders? comments and suggestions collected from the hearing on the guiding principles in last
derivatives trading within the scope of investment pre-determined by their clients. In any case, provision of such additional services must comply with supervisory rules and investor protection guidelines. The
that has not covered the enforcement of investors’ rights as determined in the filing and prospectus. Other mechanisms equivalent can be used in replacement. For example, obligations or document with
public policy and pre-determined criteria. This exemption rule would facilitate social enterprises in raising fund for their operation to achieve the objectives of promoting employment or solving social
SEC had proposed, in principle, to amend the definition of major shareholder of the securities companies which at present is determined based on the “number of voting shares” to the “number of
Pursuant to the proposed amendments, the fee for undertaking a derivatives exchange business would be determined at the rate of 0.05 baht per contract per side for trades executed within the
), reports on acquisition and disposal of securities (Form 246-2) and tender offer records. Currently, all of the above are ready to serve at www.cgthailand.org. ?The SEC has determined to promote
time with high trading volumes. {A} admitted that the client allowed her to make trading decision under the pre-determined value. After trading, she notified her client via recording telephone.The client
transactions of loans to buy assets of clients with investment accounts with securities companies or can be identified as “margin loan.”SET President Dr. Pakorn Peetathawatchai said “SET is determined to
derivatives business operators is determined by the types of license packages, each permitting a scope of various business undertakings. For example, Type A Securities Business License requires the minimum paid