management companies, investment unit brokerage companies; directors of the Thai BMA; directors of inter-dealer brokers (IDB); 2. Fund managers, derivatives fund managers, property fund managers
The Securities and Exchange Commission (SEC) is responsible for oversight of securities markets and has authority over listed companies and other issuers; dealers, brokers, and fund managers; and the
ประเทศ (Overseas Brokers & Dealers) ผูป้ระกอบธุรกิจเปิดบญัชี Custodian และ FCD กบั Custodian Bank และ/หรือกบัตวัแทนซ้ือขายใน ต่างประเทศ (Overseas Brokers & Dealers) กรณีท่ีตวัแทนซ้ือขาย ในต่างประเทศมี
collaterals in margin accounts have experienced price volatility and declines due to various factors. When stock prices drop, the value of the collaterals is subsequently affected, leading brokers to forcibly
supervising services of insurance agents and brokers have been amended and added, including the use of electronic methods in insurance business. Other amendments include increased penalties for fraud offences
, ADVISERS, AGENTS AND OTHER INDEPENDENT THIRD PARTIES A. Directors and Senior Management Provide the names, nationality, addresses and functions of the issuer’s directors and senior management. B. Corporate
restricted derivatives agents and selling agents for gold business operators. Under the proposed rules, the applicants must have work experiences relating to gold trading for at least two consecutive years
Bangkok, December 18, 2013 ? The SEC is seeking public comment on draft amendments to exempt the duty of registered derivatives dealers and derivatives fund managers to conduct the suitability test
institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may