of the Securities and Exchange Commission Kor Thor. 66/2547 Maintenance of Financial Position of Licensed Derivative Brokers (Synopsis) 22/12/2004 16/01/2005 Notification of the Office of the
supporting documents via electronic system (OFAM) without the requirement for hardcopy submission to SEC; (5) Improving guidelines for supervising compliance of securities brokers and dealers of non
/derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g., investment consultants 1 and listed companies 2 ______________________________ 1 In case
digital asset business operators, i.e., exchanges, brokers and dealers, and cover the licensing process, from change to the fee payment time frame to extension to the time frame of readiness preparation for
to facilitate cross-border investment in the ASEAN region. SEC has already put in place rules permitting securities brokers or investment advisors to promulgate research analysis. The promulgation
, the CMSB approved underwriters to provide service in foreign currency denominated securities, the service of which has previously been provided by brokers and dealers.?With a view to enabling investor
://www.sec.or.th/EN/Pages/ABOUTUS/SEC_VUTTIKRAI.aspx English (United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g
are recognised and addressed by governing bodies and other agents in the chain, if the overarching principle of safeguarding the interest of beneficiaries is to be respected. Those acting as agents
/2551 Re: Rules for Applying for Permission and Granting of Permission to Derivatives Brokers to Establish Branch Offices _____________ By virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) as