derivatives broker. Such conduct shall specify at least include internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall among each departments
of conduct specified by derivatives broker. Such conduct shall specify at least include internal control system, information security system to prevent access from unauthorized person, and effective
any securities, which is not limited to debt securities or the units ; (3) brokerage, dealing or underwriting of units which: (a) has investment in or possess securities for the investment of the
the Law on Life Insurance, and a financial institution established under other laws: (1) securities financing business; (2) brokerage, dealing or underwriting of any securities, which is not limited to
Dealing Which is Not Limited to Debt Instruments or Investment Units dated 3 August 2009, and Clause 6, Paragraph 1 of Clause 8 and Clause 33 of the Notification of the Capital Market Supervisory Board No
digital asset broker On 12 January 2024, pursuant to Section 35, Paragraph 1, of the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018) (Digital Asset Business Law), the SEC sent a letter to
development in the https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5752 SEC orders temporary suspension of Zipmex services as digital asset exchange and digital asset broker On 12 January 2024, pursuant