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Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives
capital fund management company, or inter-dealer brokerage company, and registered derivatives intermediary; “Notification No. Tor Thor. 60/2561” means the Notification of the Capital Market Supervisory
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=system_name%3APublic%20Hearings&fq=key_filetype%3Apdf&start=0&rows=10 1 - 10 of 10 results Sort by: Relevance Date (Newest) Date (Oldest) Annual Report 2004 Corporate Finance 33 Broker-Dealer 36 Asset
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of digital asset business licenses have been added to the licensing list, making the total of six license types, namely: Digital Asset Exchange, Digital Asset Broker, Digital Asset Dealer, Digital
. KorThor. 12/2553 Re: Determination of Undertaking not Deemed as a Derivatives Dealer By virtue of Section 3 and Section 9 of the Derivatives Act B.E. 2546 (2003) which contains certain provisions relating
Following an inspection report from KBANK, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was found that some employees of the bank, who acted as
, Mr. Peerapong Jirasevijinda, who was chief executive officer and fund manager of BBLAM, placed the large and significant JMT selling orders in this account via BBLAM’s dealer. The order volume was