reference. Notification of the Office of the Securities and Exchange Commission No. SorThor. 32/2548 Re. Customer Complaint Proceedings of Licensed Derivatives Brokers _________________ By virtue of Clause 27
of the Securities and Exchange Commission Kor Thor. 66/2547 Maintenance of Financial Position of Licensed Derivative Brokers (Synopsis) 22/12/2004 16/01/2005 Notification of the Office of the
companies with clients who are securities companies under foreign law and acting as brokers or agents in trading or exchange of securities for others (inter-brokers) to additionally conduct a Know-Your
supporting documents via electronic system (OFAM) without the requirement for hardcopy submission to SEC; (5) Improving guidelines for supervising compliance of securities brokers and dealers of non
://www.sec.or.th/EN/Pages/ABOUTUS/SEC_VUTTIKRAI.aspx English (United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g
** Notification of the Securities and Exchange Commission No. Kor Mor. 8/2567 Re: Waiver of Operational Fees for Licensed Securities Brokers Providing Conversion Service of Non-Voting Depository Receipts to
to facilitate cross-border investment in the ASEAN region. SEC has already put in place rules permitting securities brokers or investment advisors to promulgate research analysis. The promulgation
, the CMSB approved underwriters to provide service in foreign currency denominated securities, the service of which has previously been provided by brokers and dealers.?With a view to enabling investor