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Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers, and Underwriters Limited to Investment Units and Derivatives Fund
Detailed Rules on Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers and Underwriters limited to Investment Units and
trading of derivative instruments on the Stock Exchange) ✓ ✓ ✓ Information on daily trading (T - 2 months) ✓ ✓ ✓ Information on daily trading of exchange brokers and dealers ✓ ✓ ✓ ✓ ✓ 1.2 Sources of
Custody of Assets of Clients by Licensed Derivatives Brokers
Bangkok, May 9, 2014 ? The SEC is seeking public comment on proposed revision of regulation on capital requirements for securities and derivatives investment advisors (IA) as well as brokers, dealers
Bangkok, January 15, 2014 ? The SEC is seeking public comment on proposed revision to the rules of capital requirements for securities and derivatives investment advisors (IA) as well as brokers
(ICO), and operations of digital asset exchanges, brokers and dealers. The regulations are expected to issue within this June. The proposed guidelines have received public comments from several channels