institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may
Bangkok, December 18, 2013 ? The SEC is seeking public comment on draft amendments to exempt the duty of registered derivatives dealers and derivatives fund managers to conduct the suitability test
Data File As of Data Definition 1 Number of Digital Asset Trading Accounts Classified by Type of Traders Quarter 2/2023 2 Trading Value and Net Purchase Value of Digital Asset Classified by Type of
The Securities and Exchange Commission (SEC) organized the Compliance Relations 2024 Event with asset management companies and limited brokers, dealers and underwriters (LBDU), including banks
account the public comments gathered from the previous hearing whereby the calculation of the fees on Thai government bond dealing activities would be revised to reduce the burden on bond dealers and
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
, dealers and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposed revision, IA, and LBDU operators will have to comply with the capital requirements variable to
Bangkok, October 29, 2013 ? The SEC is seeking public comment on revising the rules to exempt institutional clients of registered derivatives dealers and derivatives fund managers from doing the
Bangkok Province 103 branches 30% 70% 104 branches 31% 69% 104 branches 30% 70% ATMs (machine) 147 146 141 Affiliated Dealers 6,132 5,846 5,646 2 Summary of Consolidated Financial Results 1. Operating