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
requirements will be revised to be more practical. The proposed compilation of rules covers general rules on customer contact and service, guidelines for derivatives agents and securities brokers in listed
Bangkok, July 7, 2014 ? The SEC is seeking public comment on revisions of client assets report of securities companies and derivatives brokers to be applicable to commercial banks and life-insurance
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
Bangkok, January 15, 2014 ? The SEC is seeking public comment on proposed revision to the rules of capital requirements for securities and derivatives investment advisors (IA) as well as 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
information, it is difficult for investors to analyze and make comparison efficiently. Besides, brokers are increasingly leaning toward investment advisory services, especially those related to asset allocation
shareholders’ equity or no more than 70% of total amount offered. Digital asset exchanges, brokers and dealers must be granted licenses from the minister and their paid-up capital must be no lower than SEC
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
, they can seek advice on IPO and listing requirements from financial advisors, auditors, the SET and the SEC. Participants obtained the SEC?s approval for going public within 2014 will be awarded a plate