reference. Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency
Following the complaints from investors and the inspection reports from TMB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units
Number of Active Professionals Classified by Type of Companies Download data Number of Personnel perform duties in the capital market business Download data Dataset/Statistic report No. Report name Period
eligible digital asset-related services are: (1) Digital Asset Exchange, (2) Digital Asset Broker, (3) Digital Asset Dealer, (4) Digital Asset Fund Manager, (5) Digital Asset Advisor, and (6) Digital Asset
country. In the future, they might move forward to other capital market businesses; for example, a business of limited broker, dealer and underwriter (LBDU), if they are able to meet with the requirements
: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ (please use an enclosure if there is more than one market maker) Part D: Participating Dealer (PD) of Foreign ETF in
.: _____________________________ Fax No.: _________________________ (please use an enclosure if there is more than one market maker) Part D: Participating Dealer (PD) of Foreign ETF in Thailand 18) Name of Participating Dealer
business in the category of derivatives broker or derivatives dealer; “ investment limit ” means the investment limit of capital market products denominated in foreign currency which is allocated by the SEC
category of derivatives broker or derivatives dealer; “investment limit” means the investment limit of capital market products denominated in foreign currency which is allocated by the SEC Office by the
orders were sent through over the internet and under her securities trader ID while the client acknowledged and did not reject the transactions. {A} admitted that she was the one submitting all trading