standard in undertaking financial institution business or for professionals engaging in financial business; (11) has been suspended the business operation by the Thai or foreign authorities empowered to
following: The Thai Bond Market Association The Association of Thai Securities Companies The Association of Investment Management Companies Regulatory Summary The provisions under Trade Association Act
such person or any other law relating to financial business, both of which concern unfair securities trading practices or cheating, fraudulent or dishonest business operation or money laundering control
toward the date of obtaining the license, not have criminal records indicating commission of offense under the law controlling business operation of such person or any other law relating to financial
) Group 2: Constituting an unfair advantage over investor by exploiting the inside information 2.1 Trade securities by using inside information (Section 242) Offender Person who knows or possesses
date of obtaining the license, not have criminal records indicating commission of offense under the law controlling business operation of such person or any other law relating to financial business, both
meet the criteria specified in the SEC regulations to be listed on the Thai stock exchange and offered to investors in Thailand. This offers the investors the flexibility to trade the units of foreign
Thailand. This offers the investors the flexibility to trade the units of foreign ETF on the Thai stock exchange, just like stocks. Regulatory Summary Related Rules and Regulations Related Forms