Bond Dealer and Underwriter Others (Securities Business) Derivatives Agents Derivatives Dealer Stock Exchange/Futures Exchange TSFC/IDB Approval and Qualifications Approval and Standards Practice Code of
the collected data. ( 8 record(s) found) No. Report Name Data File As of Data Definition 1 Quarterly Assets, Liabilities and Shareholders Equities of All Securities Companies and Derivatives agents
Bangkok, July 7, 2014 ? The SEC revised rules on mutual fund selling agents to allow additional channels for investment in mutual funds, expected to put into effect by early August 2014.Vorapol
management companies, investment unit brokerage companies; directors of the Thai BMA; directors of inter-dealer brokers (IDB); 2. Fund managers, derivatives fund managers, property fund managers
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
The SEC has collaborated with the single form working group to develop the single form, which contains a standard information set. The working group consists of representatives from stakeholders in
derivatives agents. The proposed rules aim at enhancing service quality and keeping up with advanced IT systems such as use of cloud computing service, IT human resource security, encryption and incident
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