Bangkok, May 9, 2014 ? The SEC is seeking public comment on proposed revision of regulation on capital requirements for securities and derivatives investment advisors (IA) as well as brokers, dealers
, dealers and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposed revision, IA, and LBDU operators will have to comply with the capital requirements variable to
Bangkok, October 29, 2013 ? The SEC is seeking public comment on revising the rules to exempt institutional clients of registered derivatives dealers and derivatives fund managers from doing the
submission.Currently, some digital asset brokers, dealers and exchanges have already obtained their respective licenses while others are in the application process. They each deploy different data types and structures
shareholders’ equity or no more than 70% of total amount offered. Digital asset exchanges, brokers and dealers must be granted licenses from the minister and their paid-up capital must be no lower than SEC
businesses, B.E. 2561 on expectation to come into force on 16 July 2018.This notification will be enforced on those who will operate businesses as trading centers, brokerage firms and dealers for digital
(United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g., investment consultants 1 and listed companies 2
English (United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g., investment consultants 1 and listed companies 2
://www.sec.or.th/TH/Documents/AboutUs/KeyPerformance-2566.pdf English (United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g