Facebook page "Hsh Gold Daily Update" : Unlicensed securities and derivatives business (Disclosure Date : 19/09/2025)
Gazette on May 27, 2019 and effective May 28, 2019 onward, except for the operative provisions related to personal data protection, which will take effect within one year of the law’s effective date The
(section 14 and 19) |- Major Shareholders |- Branch Office |- Net Liquid Capital (section 97) |- Capital Reduction |- Anti-fraud Provisions (section 98(3)) |- Forward Transactions/OTC Equity Derivatives
e-service Online Submission See canceled document Securities Borrowing and Lending >> Anti-fraud Provisions (section 98(3)) Type Title Section See Document Status Notified Date Effective Date 1. Act
e-service Online Submission See canceled document Securities Borrowing and Lending >> Short Sale Provisions (section 98(5)) Type Title Section See Document Status Notified Date Effective Date 1. Act
. 3/2557 Rules on Units of Foreign Collective Investment Scheme Exempted from the Provisions of Public Offering for Sale of Securities 30/05/2014 01/07/2014 2. Notification of Capital Market
Exchange Commission Sor Thor. 13/2561 Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital 17/01/2018 01/04/2018
Foreign ETF deemed as Securities not Subject to Provisions on Public Offering of Securities 24/12/2010 16/01/2011 2. Notification of the Securities and Exchange Commission 16/2553 (Synopsis) 01/12
(section 92) Net Liquid Capital (section 97) Capital Reduction (section 98(1)) Anti-fraud Provisions (section 98(3)) Forward Transactions/OTC Equity Derivatives Transactions (section 98(4)) Proprietary