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

usually represented themselves as agents of foreign derivatives brokers licensed by foreign regulators and thus required no authorization from the SEC.   Falling into the trap by transferring money to these

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

Bangkok, July 7, 2014 ? The SEC revised rules on mutual fund selling agents to allow additional channels for investment in mutual funds, expected to put into effect by early August 2014.Vorapol

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

management companies, investment unit brokerage companies; directors of the Thai BMA; directors of inter-dealer brokers (IDB); 2. Fund managers, derivatives fund managers, property fund managers

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

derivatives agents. The proposed rules aim at enhancing service quality and keeping up with advanced IT systems such as use of cloud computing service, IT human resource security, encryption and incident