: Detail Content Opening Keynote Arkhom Termpittayapaisith, Minister of Finance “ EU-Asia Financial Services Dialogue " By Asia Securities Industry & Financial Markets Association (ASIFMA) and Afore
; Educating and warning investors to ensure they have sufficient knowledge for decision making and exercise discretion when being solicited to invest in unlicensed or illegal businesses. SEC and Investors Be
similar period of time; (4) Placing, modifying, or cancelling a securities trading order during the pre-opening or pre-closing period of the Securities Exchange or the over-the-counter center, as the
nationality ID card or passport, location, etc. Fee, transfer method, documents related to bank account opening ● Documents/evidence on an investment, for instance: Transfer documents such as a pay-in slip
required to observe the following : 1 . NC or NCR ≤ 1 . 5 times of minimum requirement ( early warning level ) that is 1 . 1 For the case of securities company operating only securities or
. Thirachai Phuvanatnaranubala, Secretary-General, Securities and Exchange Commission, Thailand, at the opening of Regional Enforcement Training Program, Bangkok, November 15, 2005 ABF2 and Regional Initiatives
หรือ NCR ≤ 1 . 5 เท่าของเกณฑ์ขั้นต่ำ ( early warning ) 1.1 กรณีประกอบธุรกิจหลักทรัพย์หรือธุรกิจสัญญาซื้อ ขายล่วงหน้าเพียงอย่างเดียว NCR ≤ 10 . 5 % หรือ NC ≤ 22 . 5 ล้านบาท 1.2 กรณีประกอบ
business opening, operation to closing through the provisions of business regulatory environment of different economies. Meanwhile, the Thai government, related government officials and SEC Thailand would