conduct of derivatives brokers as follows:1. Underwriting rules will be relaxed to permit brokerage firms that issue instruments linked to other underlying securities, e.g., derivatives warrant, trading
Interactive Brokers - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 15/12/2568)
TIGER BROKERS SINGAPORE - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 31/03/2565)
Intermediaries - SECOpenData EN หน้าแรก กองทุน กองทุนรวม กองทุนส่วนบุคคล กองทุนสำรองเลี้ยงชีพ กองทุนอื่น ตราสารหนี้ ตราสารทุน ESG Data สินทรัพย์ดิจิทัล ผู้ประกอบธุรกิจและบุคลากรในตลาดทุน ผู้ประกอบ
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protection remains intact while business operators still have convenience for business operation. The SEC has therefore reviewed the regulations on work systems of securities brokers and repealed two
The SEC proposed to amend the regulations relating to annual fee regime for intermediaries to improve equality of fee rate among intermediaries operating the same activities and to ease the burden
Bangkok, 25 October 2017 ? The SEC in cooperation with securities companies, asset management companies and the Stock Exchange of Thailand Group exercised a joint cyber drill to raise the industry's awareness of the importance of cybersecurity plan, work system stability and data protection. Co-organized by the SEC and the regulated entities, the cyber drill activities were conducted by experts from the Electronic Transactions Development Agency (ETDA). More than 160 delegates from 53 organizati...
, transactions that are subject to variable fee rates shall be based on volume they made; and the intermediaries that enter into the same type business activities shall pay the same rates of fee; or fees shall
Before providing investment service in the capital market, intermediaries, such as securities companies and asset management companies, must know their investors or clients’ detailed information