English (United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g., investment consultants 1 and listed companies 2
, 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 of digital asset custodial wallet providers https
Asset Business Conduct https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=634 SEC public hearing on proposed amendments to capital requirements of digital asset exchanges, brokers, and dealers https
Business for Licensed Derivatives Brokers dated 3 August 2009; (18) The Notification of the Capital Market Supervisory Board No. Tor Thor. 2/2553 Re: Rules on Undertaking of Derivatives Business for Licensed
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
) Statistics (Dashboard) Enforcement Fundraising/Listed Companies Securities Issuing Companies Takeover Professionals Intermediaries Analysts / Investment Consultants ISIN Code Investor Alert Investor Alert
experiences in overseas investment. Under the proposed regulations, derivatives brokers must have infrastructure in place to render service to retail investors to trade derivatives on foreign derivatives
collaterals in margin accounts have experienced price volatility and declines due to various factors. When stock prices drop, the value of the collaterals is subsequently affected, leading brokers to forcibly
Notification Requirements (section 109) OTC Securities Brokers (section 113) Conduct Regulation of Securities Broker-Dealers (section 113) Revocation of License (section 147) Service Outsourcing Guide for