characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her
Bangkok, April 20, 2016 ? The SEC is seeking public comments on draft amendments to the rules concerning the categorization of salespersons and sales process of capital market products to promote
before making a decision to use the services and [ii] possible risks arising from using the services: (1) general information of the intermediary ; (2) characteristic, scope and condition of a service
, dealing, or underwriting of debt securities and Sukuk – to register as a bondholders’ representative. This is to ensure that the categorization of securities aligns more closely with the roles and
shareholders’ approval, (2) inclusion of financial assistance to the transaction list subject to material transaction rules, (3) repeal of the categorization of related party transactions to subject them to the
accordance with international standards. This includes (i) calculation of ratio limit, (ii) categorization of fund types to better reflect investment risks based on net exposure instead of investment value
Securities and Exchange Commission No. KorThor. 16/2555 Re: Determination of Types of Securities Having Characteristic Similar with Investment Units _____________ By virtue of Section 14 of the Securities and
) general information of the intermediary ; (2) characteristic, scope and condition of a service proposed to the client ; (3) channel for providing [or accessing to] the service and for communication; (4