Status Report This is in reference to the SEC Office’s email dated 28 June 2010, which informed securities companies and derivatives brokers (“intermediaries”) of the requirement for submission of the
://www.sec.or.th/EN/Pages/MarketData/SecuritiesDerivativesBusiness.aspx English (United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved
Derivatives Dealers (Synopsis) 01/06/2010 16/06/2010 4. Notification of Capital Market Supervisory Board Tor Thor. 80/2552 Criteria for Undertaking Derivatives Business for Licensed Derivatives Brokers
submission.Currently, some digital asset brokers, dealers and exchanges have already obtained their respective licenses while others are in the application process. They each deploy different data types and structures
Bangkok, 25 February 2019 ? The SEC is seeking public comments on the proposed rules for intermediaries to provide assisting tools to asset allocation and investment planning. This would allow
application for approval have been effective from 16 July 2018. The capital market intermediaries of all kinds, whether it be securities brokers, mutual fund brokers, management companies for mutual funds or
Essentially, the amendments would apply to digital asset business operators, i.e., exchanges, brokers and dealers, and cover the licensing process, from change to the fee payment time frame to
/ABOUTUS/HR-MANAGEPOLICY-REPORT-2563.aspx English (United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g
amendments to capital requirements of digital asset exchanges, brokers, and dealers https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=848 SEC Thailand’s public hearing on revised principles for supervision