reference. Notification of the Securities and Exchange Commission No. KorThor. 26/2560 Re. Determination of Paid-Up Registered Capital of Licensed Operators to Undertake Derivatives Business By virtue of
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
Securities and Exchange Commission No. SorThor. 8/2548 Re: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the
or Agent (individual) Acting as Investor Contact of the Company D erivatives Agent Licensed Derivatives Broker Registered Derivatives Broker Securities Dealer Securities Companies and Other
Essentially, the amendments would postpone the deadline for the licensed companies subscribing to the National Digital ID (NDID) platform to comply with the e-KYC Guidelines to 1 January 2021, one
of research analysis by non-licensed business operators may be regarded as carrying out the investment advisory service business because such promulgation must only be made by a licensed business
Citibank N.A. Citibank N.A., a company licensed Securities Brokerage : Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification of the Capital
Krungthai-axa life insurance Public Company Limited Krungthai-axa life insurance Public Company Limited a company licensed Securities Brokerage : Investment Units, failed to comply with the rules
. Tor Thor. 80/2552 Re: Criteria for Undertaking Derivatives Business for Licensed Derivatives Brokers dated 3 August 2009, the SEC Office hereby issues the following regulations: Clause 1 In this