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
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
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
Bangkok, January 18, 2012 ? The Capital Market Supervisory Board has resolved to revise the rules on custody of client assets by securities companies and derivatives brokers ("the companies") to
businesses that already operate a digital business before the legal enforcement or newcomers who are interested in obtaining licenses as trading centers, brokerage firms or traders https://www.sec.or.th/EN