Derivatives Business for Licensed Derivatives Brokers (Synopsis) 03/08/2009 01/09/2009 Contact The Securities and Exchange Commission, Thailand 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak Bangkok
Complaint Proceedings of Licensed Derivatives Brokers 14/11/2005 01/12/2005 Contact The Securities and Exchange Commission, Thailand 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak Bangkok 10900
/2011 2. Notification of Capital Market Supervisory Board TorThor 7/2551 Rules for Applying for Permission and Granting of Permission to Derivatives Brokers to Establish Branch Offices 02/04/2008 01/05
employees providing advice to the investors in order to prevent conflict of interest in respect of advice provision;4. The wealth advice service providers who are securities brokers may automatically
The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However
enforced by banks, brokers, etc. • Governance by code, not by people – Nobody to hold accountable – Code is not always well-written – Velocity of transactions is very high, e.g., “flash loans” • Reliance on
Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit Redemption and Marketing Representatives of Private Funds (Codefied) 14/09/2010 01/10/2010 Notification of
) 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 support cash
standards supportive to the capital market development. New distribution channels such as fund supermart and more convenient access to paying agents have been allowed to reach out the investors. Furthermore
agents, and (3) establishment of compliance unit of digital asset business operators to be in line with the regulations governing securities business operators and derivatives business operators