failed to show evidence of their clients trading orders, and most of them admitted that they had taken orders via mobile phone, claiming the clients unfamiliarity with order execution via phone recording
the case where the units of the foreign ETF are listed on more than one exchange, the term shall mean the exchange specified by the foreign ETF as the home exchange; “CIS operator” means a person who is
estate of which the REIT cannot run business by itself, (such as hotel or hospital) and leasing the whole project to an operator, specify the information related to the lessee, for instance, general
Securities and Exchange Commission No. SorThor. 24/2548 Re: Approval for Auditor of a Derivatives Business Operator, Derivatives Exchange, and Derivatives Clearing House By virtue of Section 14, the second
. SorThor. 24/2548 Re: Approval for Auditor of a Derivatives Business Operator, Derivatives Exchange, and Derivatives Clearing House By virtue of Section 14, the second paragraph of Section 30, the second
the Office of the Securities and Exchange Commission No. SorThor. 24/2548 Re: Approval for Auditor of a Derivatives Business Operator, Derivatives Exchange, and Derivatives Clearing House By virtue of
: CIS)* ที่ผู้จัดการกองทุน (CIS operator) อยู่ภายใต้การกำกับดูแลของหน่วยงานกำกับดูแลหลักทรัพย์ต่างประเทศที่เป็นสมาชิกสามัญขององค์กร ก.ล.ต. นานาชาติ (International Organization of Securities Commissions
official authority’s freezing payments from of such sale, as well as debts from having clients’ asset custody or acting as a representative of such asset custody for a business operator who engages in
timeframe, or if the net capital falls below 60 percent of the minimum requirement for five consecutive days, digital asset operations must be suspended. Business operator must notify customers and follow
เมษายน 2566 โดยจะมีสมาคมตลาดตราสารหนี้ไทย (ThaiBMA) เข้ามาเป็นผู้บริหารจัดการและให้บริการในการทำธุรกรรม (business operator) แก่ผู้ใช้งานบนระบบต่อไปสำหรับการพัฒนาระบบ Digital Infrastructure ในระยะแรกจะ