Bangkok, April 4, 2011 - The SEC Board at its meeting No. 4/2011 today has approved the issuance of new license for undertaking brokerage business limited to precious metals derivatives covering gold
SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness, customer service and information system, internal control system, and risk management system. In add...
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allowed to apply for derivatives brokerage license limited to precious metals while licensed gold futures brokers will also be eligible to apply for such license to expand their brokering service to silver
and a minimum of 10 million baht in paid-up capital will also be applicable. Meanwhile, annual license fee will be lowered for the all Type D licenses brokering at least 3 types of the investment unit
companies licensed to undertake the said businesses. In addition, the revisions will extend the scope of transactions subject to segregation to cover offshore securities trading service, brokering, dealing
brokerage" means brokering or representing any person in the purchase, sale or exchange of securities in the normal course of business in consideration of a commission, fee or other remuneration therefrom
Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities That Are Not Debt Instruments dated 26 September 2000, and Clause 25/1 of the Notification of the