period File Description 1 Quarterly Revenues and Expenses of All Securities Companies and Derivatives agents (unaudited) (2017-2019) - 2 Quarterly Revenues and Expenses of All Securities Companies and

bind the trustee personally, and not bind the trust. 9 SECTION 38 In cases where a trustee delegates any other person to manage trust property under Section 37, the trustee shall thoroughly and carefully

. In cases where the trustee contravenes the first paragraph, the management shall bind the trustee personally, and not bind the trust. SECTION 38 In cases where a trustee delegates any other person to

e-service Online Submission See canceled document Derivatives Agent >> Port Investment of Derivatives Agents   Type Title Section See Document Status Notified Date Effective Date 1. Notification of

’ decision making; (4) None of the intermediaries or selling agents under the SEC supervision have been licensed to undertake digital asset businesses; (5) These ICOs may lack trading liquidity and may not

Essentially, the new rules allow securities brokers and derivatives agents to provide two types of trading services of capital market products that respond to investors’ demands more efficiently

planning whereby securities brokers and derivatives agents would be allowed to offer services on asset allocation and investment planning in the forms of program trading and portfolio advisory with

experts who share their views on Hong Kong fund industry landscape, the role of transfer agents, and Hong Kong tax system. The participants include fund managers, custodians, and fund distributors from 29

agents. Without obtaining derivatives license from or being registered with the SEC, they advertised through various media channels including Facebook and solicited investing public to invest in gold in

on their behalf by those agents. As sophisticated investors with influence, often including voting rights, institutional https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN%20Institutional