The Securities and Exchange Commission (SEC) organized the Compliance Relations 2024 Event with asset management companies and limited brokers, dealers and underwriters (LBDU), including banks

expansion of the scopes of work of derivatives investor contact type B (limited to gold futures) and selling agents of gold futures brokers to cover provision of services relevant to the said precious metals. # # #

Essentially, the new rules allow securities brokers and derivatives agents to provide two types of trading services of capital market products that respond to investors’ demands more efficiently

requirements will be revised to be more practical. The proposed compilation of rules covers general rules on customer contact and service, guidelines for derivatives agents and securities brokers in listed

Bangkok, May 9, 2014 ? The SEC is seeking public comment on proposed revision of regulation on capital requirements for securities and derivatives investment advisors (IA) as well as brokers, dealers

Bangkok, January 15, 2014 ? The SEC is seeking public comment on proposed revision to the rules of capital requirements for securities and derivatives investment advisors (IA) as well as brokers

submission.Currently, some digital asset brokers, dealers and exchanges have already obtained their respective licenses while others are in the application process. They each deploy different data types and structures

shareholders’ equity or no more than 70% of total amount offered.   Digital asset exchanges, brokers and dealers must be granted licenses from the minister and their paid-up capital must be no lower than SEC

planning whereby securities brokers and derivatives agents would be allowed to offer services on asset allocation and investment planning in the forms of program trading and portfolio advisory with

addition, the SEC will extend the scope of services for category B derivatives investor contact limited to gold derivatives to cover precious metals derivatives, and will allow selling agents whose services