the view that the “Aom No.5” campaign, with the integrated efforts of the AIMC, investment management companies, mutual fund brokers, related associations, the SET and the SEC, can help not only
brokers or agents who act in the manner as specified in the notification of the SEC. Digital asset dealer means a person who provides services or holds itself out to the public as available to provide
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
ประเทศ (Overseas Brokers & Dealers) ผูป้ระกอบธุรกิจเปิดบญัชี Custodian และ FCD กบั Custodian Bank และ/หรือกบัตวัแทนซ้ือขายใน ต่างประเทศ (Overseas Brokers & Dealers) กรณีท่ีตวัแทนซ้ือขาย ในต่างประเทศมี
Clause 12, Clause 15 and Clause 26 of the Notification of the Capital Market Supervisory Board No. TorThor. 80/2552 Re: Rules on Undertaking of Derivatives Business for Licensed Derivatives Brokers dated 3
, Clause 15 and Clause 26 of the Notification of the Capital Market Supervisory Board No. TorThor. 80/2552 Re: Rules on Undertaking of Derivatives Business for Licensed Derivatives Brokers dated 3 August
the operation of derivatives brokers.
. Therefore, it is deemed appropriate to issue this Notification to determine rules for the operation of derivatives brokers. Notification of the Capital Market Supervisory Board No. TorThor. 2/2551 Re