ซื้อขายหลักทรัพย ์(“electronic trading platform”) เป็นตลาดรองส าหรับหุ้นของบริษัทที่เสนอขายผ่าน funding portal ที่ได้รับอนุญาตจากส านักงานได้ (ไม่ว่าจะเสนอขายผ่าน funding portal รายดังกล่าว หรือรายอื่น
Platform of Choice” in order to maintain existing clients with good track records while also broadening opportunities to acquire new patrons via digital channels. KASIKORNBANK has established its business
evidence relating to derivatives trading under the following rules: (1) Records of advice given to customers and derivatives orders placed by customers shall be kept for at least three months from the date
Exchange Commission No. SorThor. 2/2549 Re: Preparation and Keeping of Information Relating to Derivatives Trading _____________ By virtue of Clause 11, Clause 14 and Clause 24 of the Notification of the
Bangkok, 27 September 2023 – SEC has ordered a revocation of an approval of an investment consultant, Mr. Phisit Taninrungroj, for 10 years for committing dishonest acts by using clients’ trading
Following tips and the SEC’s further inspection, it was found that {X1} has provided platform services for trading or exchanging digital assets via its website by matching orders or arranging for the
points of the criteria can be summarized as follows: Banks are allowed to conduct customer identity verification either in-person or remotely via the National Digital ID Platform (NDID). To verify
documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given to customers and
either in the form of documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given