) Statistics (Dashboard) Enforcement Fundraising/Listed Companies Securities Issuing Companies Takeover Professionals Intermediaries Analysts / Investment Consultants ISIN Code Investor Alert Investor Alert
The SEC will issue further regulations to revise the report submission of securities companies, derivatives intermediaries and trustees. In this regard, all reporting data will be reviewed
companies and derivatives intermediaries of all kinds, such as, commercial banks, life insurance company, and mutual fund brokerage securities companies (BSC) providing such services shall comply with the
allowed to contact and give investment advice to clients. The SEC has emphasized to all intermediaries to strictly instruct their investment consultants to obtain and compile sufficient information for
without intermediaries, including links for checking definitions under the law on digital asset business operation.The next topic is “Knowing Us.” Under this topic, a checklist is provided for investors
of instruments while intermediaries and selling agents must have in place the procedure to ensure their clients? understanding of associated investment risks and returns before making investment
7.1 1.3. Dealers 35.7 1.6 35.1 1.6 (0.6) (1.7) 1.4. Online 16.5 0.7 43.0 1.9 26.5 160.2 Total Revenue from Domestic Sales 2,161.1 95.3 2,184.2 96.9 23.1 1.1% 2. Overseas sales 2.1. Franchise and Dealers
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 21 September 2023 20:06 Funds/Trust Intermediaries Finance & Products Digital Asset Investors Office operation Important statistics