SET member brokers from trading listed securities outside the exchange. Moreover, in case of trading listed securities in any trading venues other than SET in the future, trading parties shall have a
groups more efficiently, and procedures for clearer communication between selling agents and investors. The relevant regulations cover four key areas, namely: (1) the organizational structure, the roles
Capital market business, the market share (SET and mai excluding proprietary trading) of Phatra Securities Plc. (PSEC) was 7.32%, increased from 4.55% in 2018, ranking 1 st from total 38 brokers. During
e-service Online Submission See canceled document Business Operation Rules >> Selling Agents (Section 100) Type Title Section See Document Status Notified Date Effective Date 1. Act Securities and
Techniques: Investment Scams ë Investor Alerts: Unlicensed Brokers-Fund Management Businesses ë From Pyramid Schemes to Mutual Fund Scams ë Additional Rights of Investors under the New SEA, etc. (2
| - |- Business Continuity Management (BCM) | - |- Port Investment of Derivatives Agents | - |- Branch Office | - |- Foreign Derivatives Agent |- Margin Requirement (Section 18) |- Other related business (Section
วัย เป็นต้น (3) กำหนดให้ผู้ประกอบธุรกิจนายหน้า ค้า หรือจัดจำหน่ายหน่วยลงทุน (selling agents) มีหน้าที่ปฏิบัติให้เป็นไปตามหลักเกณฑ์การส่งเสริมการขายตามประกาศ AIMC โดยบริษัทหลักทรัพย์จัดการกองทุนรวม
the types of escrow agents permissible for crowdfunding portals; and 4) To allow non-retail investors and crowdfunding portals to form a mutual agreement on selection of escrow agent. The consultation