. Tor Thor. 80/2552 Re: Criteria for Undertaking Derivatives Business for Licensed Derivatives Brokers dated 3 August 2009, the SEC Office hereby issues the following regulations: Clause 1 In this
The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However
employees providing advice to the investors in order to prevent conflict of interest in respect of advice provision;4. The wealth advice service providers who are securities brokers may automatically
Bangkok, January 18, 2012 ? The Capital Market Supervisory Board has resolved to revise the rules on custody of client assets by securities companies and derivatives brokers ("the companies") to
Capital market business, the market share (SET and mai excluding proprietary trading) of Phatra Securities Plc. (PSEC) was 7.32%, increased from 4.55% in 2018, ranking 1 st from total 38 brokers. During
ใต้การกำกับดูแลของ ก.ล.ต. (จำนวนรายการที่พบ 189 รายการ) ชื่อ ประเภท วันที่เปิดเผยข้อมูล ข้อมูลอื่นที่เกี่ยวข้อง TIGER BROKERS SINGAPORE ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า 31/03
of 477 SET-listed companies and 108 mai-listed companies, excluding 65 non-listed securities companies, asset management companies and derivatives brokers which entered the assessment for the first
(SET and mai excluding proprietary trading) of Phatra Securities Plc. (PSEC) was at 4.7%, at same level as in 2017, ranking 7th from total 38 brokers. For products and services during 1Q18, the Bank