for a number of asset management firms, we can provide information on return comparison and investment advice suitable for investors? profiles. Securities companies also serve investors with need to
the Association of Securities Companies (ASCO), regarding clients’ short selling transactions. The SET agreed that such review should be conducted in alignment with the current contexts and to ensure
digital asset dealer.Compared to securities business, digital asset businesses have not yet expanded into digital asset advisory service and digital asset fund management. Earlier, securities companies
been implementing several measures for preparing market participants for the amended rules. More emphasis is on sufficient and reliable disclosure of information by issuing companies and financial
business service as a channel for money laundering and terrorist financing such as requiring securities business operator (securities firms and asset management companies) to learn of client?s identity, a so
evidence, complaints from 10 securities firms asking for legal actions against a number of persons, allegedly deceiving and defrauding the companies of the securities trading money, causing damage to the
, particularly transaction payment rules that specify direct payments to securities firms only, and in case of check payments, they must be endorsed to the securities companies. Transferring money to personal bank
Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers, and Underwriters Limited to Investment Units and Derivatives Fund
contained significant improvements in the clients’ operating results – the information likely to increase the securities price of the clients’ companies. Such insider trading of securities and derivatives was