derivatives business operators, which provide services such as securities brokerage, securities dealing, investment advisory, underwriting, mutual fund management, private fund management and derivatives
transfer fee in case of transfer to another fund of the same type under the same management within deadline. The waiver would not apply to the brokerage fee.The consultation paper is available at
Bangkok, December 4, 2013 ? The SEC is seeking public comment on revision of the rules to allow licensed brokerage firms to expand the service on overseas investment in a wider range of financial
organizations, comprising securities companies, asset management companies, investment unit brokerage firms, investment advisory firms, derivatives business operators, digital asset business operators
Phichayarom, an investment consultant of a brokerage firm, in manipulating Tapaco Public Company Limited ("TAPAC") share price by executing trading orders of such share in such a manner that
, an investment consultant of a brokerage firm, in manipulating Tapaco Public Company Limited ("TAPAC") share price by executing trading orders of such share in such a manner that stimulated
Saravutwattanakorn joined with Miss Phichayada Phichayarom, an investment consultant of a brokerage firm, in manipulating Tapaco Public Company Limited ("TAPAC") share price by executing trading orders of
Wealth Asset Management Company Limited— as a company licensed securities brokerage, failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, the CL
) Clause 4(2) of the Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing Which Are Not Debt