brokerage, securities dealing, investment advisory, securities underwriting, mutual fund management, private fund management and derivatives agents, etc.
the regulations on sale promotion advertisement, engagement of introducing broker agent, and disclosure of brokerage transaction activities, which will come into force starting from 1 January 2022
investment unit brokerage to maintain ongoing capital at a ratio appropriate for their business and in line with international standards. In addition, the new rules would enhance business continuity while
Limited Brokerage Dealing Underwriting (LBDU) to provide the said services in a bid to facilitate access to investment in foreign products for the investors. In this regard, offering of ASEAN CIS will be
on the giveaways. As from October 26, 2012, asset management company, brokerage firm and LBDU operator which hold marketing campaign must emphasize on the information necessary for investor?s
Securities and Exchange Commission No. Or Thor. 21/2543 Re: Guidelines for the Operating Control of Brokerage and Dealing of Securities That Are Not Debt Instruments _____________________________ For the
percent compared to the first quarter of the previous year. The significant revenues are as follows: 1.1 Brokerage fees The Company’s brokerage fees in first quarter of 2019 were Baht 166 million, a