Bond Dealer and Underwriter Others (Securities Business) Derivatives Agents Derivatives Dealer Stock Exchange/Futures Exchange TSFC/IDB Approval and Qualifications Approval and Standards Practice Code of
Bangkok, February 12, 2016 ? The SEC is seeking public comments on draft amendments to the principles and regulations on granting of approval for marketing agents of private funds (PF) and
)) | - |- Selling Agents (Section 100) |- Internal operation of Securities Companies | - |- Proprietary Investment (Section 98(7)) | - |- Accept purchasing or selling orders outside head office or branch
) |- Engagement in Related Businesses | - |- OTC & Derivatives Businesses (Section 98(4)) | - |- Engagement in Other Businesses (Section 98(8)) | - |- Selling Agents (Section 100) |- Internal operation of
/25) |- Engagement in Related Businesses | - |- OTC & Derivatives Businesses (Section 98(4)) | - |- Engagement in Other Businesses (Section 98(8)) | - |- Selling Agents (Section 100) |- Internal
the collected data. ( 8 record(s) found) No. Report Name Data File As of Data Definition 1 Quarterly Assets, Liabilities and Shareholders Equities of All Securities Companies and Derivatives agents
22nd Anniversary. Mrs. Chanunporn Phisitvanich, PDMO Deputy Director-General, gave a warm welcome to the SEC’s representatives on this special occasion. The event took place on 9 October 2024, at the
-related operations, such as bondholder representatives and bond registrars. The revised Terms and Conditions is in compliance with the SEC’s amended regulations, enhances the efficiency of bondholder
No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By