The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
According to the SEC inspection findings, Asia Wealth Securities Company Limited had failed to maintain the minimum net capital (NC) as required by the SEC regulations since 14 November 2022 and
GMO-Z com Securities (Thailand) Public Company Limited GMO-Z com Securities (Thailand) Public Company Limited (“Z com Securities”) failed to maintain its net capital ratio (NCR) in accordance with
Bangkok, 19 September 2018 ? The SEC teamed up with the Stock Exchange of Thailand and the Securities Investors Association (Singapore) to organize an international seminar on ?Building Trust in a
limited to units which: 1. has securities portfolio; 2. provides services of trading investment units , registered as listed securities, for clients through a member of SET . (9/1) “ SET ” means the Stock
listed securities, for clients through a member of SET. (9/1) “SET” means the Stock Exchange of Thailand; (10) “Office” means the Office of the Securities and Exchange Commission; (11) “units” means
. (9/1) “SET” means the Stock Exchange of Thailand; (10) “Office” means the Office of the Securities and Exchange Commission; (11) “units” means investment units of mutual fund, certificate of pooling
company; (b) trade units listed on SET for clients through a member of SET (4) brokerage, dealing or underwriting of debt securities and sukuk. “ SET ” means the Stock Exchange of Thailand; “ unit ” means
clients through a member of SET (4) brokerage, dealing or underwriting of debt securities and sukuk. “SET” means the Stock Exchange of Thailand; “unit” means an investment unit of a mutual fund, certificate