Detailed Rules on Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers and Underwriters limited to Investment Units and
trading of derivative instruments on the Stock Exchange) ✓ ✓ ✓ Information on daily trading (T - 2 months) ✓ ✓ ✓ Information on daily trading of exchange brokers and dealers ✓ ✓ ✓ ✓ ✓ 1.2 Sources of
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
experiences in overseas investment. Under the proposed regulations, derivatives brokers must have infrastructure in place to render service to retail investors to trade derivatives on foreign derivatives
collaterals in margin accounts have experienced price volatility and declines due to various factors. When stock prices drop, the value of the collaterals is subsequently affected, leading brokers to forcibly
Both existing businesses that already operate a digital business before the legal enforcement or newcomers who are interested in obtaining licenses as trading centers, brokerage firms or traders
Data File As of Data Definition 1 Number of Digital Asset Trading Accounts Classified by Type of Traders Quarter 2/2023 2 Trading Value and Net Purchase Value of Digital Asset Classified by Type of
allowed to apply for derivatives brokerage license limited to precious metals while licensed gold futures brokers will also be eligible to apply for such license to expand their brokering service to silver
Derivatived Act B.E 2546 33 03/07/2003 06/01/2004 2. Notification of Capital Market Supervisory Board TorThor. 84/2552 Custody of Assets of Clients by Licensed Derivatives Brokers (Codefied) 03/08/2009