companies with clients who are securities companies under foreign law and acting as brokers or agents in trading or exchange of securities for others (inter-brokers) to additionally conduct a Know-Your
** Notification of the Securities and Exchange Commission No. Kor Mor. 8/2567 Re: Waiver of Operational Fees for Licensed Securities Brokers Providing Conversion Service of Non-Voting Depository Receipts to
to facilitate cross-border investment in the ASEAN region. SEC has already put in place rules permitting securities brokers or investment advisors to promulgate research analysis. The promulgation
to seek proper solutions.ASCO came up with a quality enhancement plan for investment analysts and investment research where brokers will be required to have adequate number of analysts and produce
The issuance of the notification is in response to the consideration that (1) digital asset traders should be informed about potential risks associated with the use of digital asset storage
/2551 Re: Rules for Applying for Permission and Granting of Permission to Derivatives Brokers to Establish Branch Offices _____________ By virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) as
Capital Market Supervisory Board No. TorThor. 7/2551 Re: Rules for Applying for Permission and Granting of Permission to Derivatives Brokers to Establish Branch Offices _____________ By virtue of Section 18
) Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 9/2549 Re. Report Preparation and Submission of Licensed Derivatives Brokers dated 31 March 2006; (8) Notification of the Office