brokerage firms held today reaffirmed the industry?s commitment to improving service quality for the best interest of the investing public and the development of capital market as a whole. The three-party
brokerage firms? marketing officers to address the issues of compensation policy and job mobility of marketing officers. Earlier today, marketing officer representatives submitted a petition to the SEC in
market development: 1. Application of sliding scale brokerage fees ? The sliding scale system where brokerage fees will be set according to trading volume will commence as scheduled in early 2010 when
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...
Line Open Chat ?STOCK EXCLUSIVE 15? impersonates ?AMUNDI Mutual Fund Brokerage Securities (Thailand) Co., Ltd.? : Unlicensed securities and derivatives business (Disclosure Date : 06/02/2025)
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
Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals Derivatives
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