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

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

International Banks, the Thai Life Assurance Association, and investment unit selling agents. This is the first time that the single form will be used for opening an investment account for capital market products

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

with large numbers and/or high value transactions (e.g. banks, travel agents https://www.sec.or.th/TH/Documents/Auditor/QAQR-04.xlsx securities-ITchecklist.xlsx Timeline การปฏิบัติตามประกาศ IT กรอบระยะ