name of the investment consultant. ● Name of Securities/derivatives intermediary or the employer of the unit seller such as commercial bank. ● Details of the behavior causing the complaint
securities or derivatives investment based on the value of the underlying asset such as gold price/crude oil price/agricultural products by an unlicensed company. ● Information of https://www.sec.or.th/EN
______________________________ 1 In case https://www.sec.or.th/EN/Pages/AboutUs/SECPeople.aspx English (United States) SECDoc Solicitation or advice on securities or derivatives investment based on the value of the underlying
://www.sec.or.th/EN/Pages/AboutUs/SEC_sethaput.aspx English (United States) SECDoc Solicitation or advice on securities or derivatives investment based on the value of the underlying asset such as gold price/crude
กรกฎาคม 2556 เพื่อเป็นการกำกับดูแลบริษัทจัดการลงทุนที่จัดการหรือเสนอขายกองทุนใด ๆ ซึ่งมิได้เข้าข่ายเป็น Undertakings for Collective Investment in Transferable Securities (UCITS)* หลักเกณฑ์ AIFMD ดัง
Securities Commissions (IOSCO) ซ่ึงเป็นองคก์รระหวา่งประเทศของหน่วยงานก ากบัดูแลดา้นหลกัทรัพย์ และกระทรวงการคลงั ประกอบดว้ย โดยส านกังานไดก้ าหนดกรอบธรรมาภิบาลส าหรับคณะกรรมการ ผูบ้ริหารและพนกังานดงัน้ี (1
instance, securities intermediaries, asset management companies, investment consultants and derivatives intermediaries with underlyings such as SET index, oil and precious metals (gold, silver, etc.); For
Current Positions Chairman of the Sub-committee on Consideration of Regulations on Issuance and Offering of Debt Securities, Derivatives and Structured Products Chairman of the Sub-committee on
establishment, market development had concentrated more on the secondary market where trading of transferable securities was the main activity than the budding primary market where businesses issued securities
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