supervise financial business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign
, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain qualifications, has a prohibited characteristic, performs duties defectively, or fails to
Derivatives Business A Gathering of all Intermediaries Regulations Regulated Entities о Rules and Regulations / Licensing / Registration • Brokerage о Securities Brokerage о
information to restructure the contribution in such conditions as may be beneficial to the executives. The purchase date must be clearly specified in order to avoid any doubt whether internal information is
country (home economy) to be offered publicly in other participating countries (host economies) through locally licensed or regulated distributors upon approval as an ARFP fund and host jurisdiction
ประกอบธุรกิจตัวกลาง > กฎเกณฑ์ที่เกี่ยวข้อง กฎเกณฑ์ SHARE : Detail Content ผู้ประกอบธุรกิจตัวกลาง กฏเกณฑ์ที่เกี่ยวข้องกับตัวกลาง นิติบุคคลที่ประกอบธุรกิจ (Regulated Entities) เกณฑ์การ
ประกอบธุรกิจตัวกลาง > กฎเกณฑ์ที่เกี่ยวข้อง กฎเกณฑ์ SHARE : Detail Content ผู้ประกอบธุรกิจตัวกลาง กฏเกณฑ์ที่เกี่ยวข้องกับตัวกลาง นิติบุคคลที่ประกอบธุรกิจ (Regulated Entities) เกณฑ์การ
Intermediaries Reporting Requirement Weekly Reports Weekly Report on the Purchase of High Turnover Securities by Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the
examination of purchase or redemption of investment units. (2) Transfer of investment in investment units, as well as the benefits thereof from one LTF to another LTF, shall be completed within five business
) The time of more than 1 day in which the mutual fund management company rejects the selling or repurchase of investment units or suspends acceptance of purchase or redemption orders. (4) Preparation and