TIGER BROKERS SINGAPORE : Unlicensed securities and derivatives business (Disclosure Date : 31/03/2022)
TIGER BROKERS SINGAPORE : Unlicensed securities and derivatives business (Disclosure Date : 31/03/2022)
Derivatived Act B.E 2546 33 03/07/2003 06/01/2004 2. Notification of Capital Market Supervisory Board  TorThor. 84/2552 Custody of Assets of Clients by Licensed Derivatives Brokers (Codefied) 03/08/2009
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
://www.sec.or.th/TH/Documents/AboutUs/KeyPerformance-2566.pdf English (United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g
. ■ Licenses for inter-dealer brokers - A Ministerial Regulation was proposed to enable the SEC to issue securities business licenses to those who wish to act as intermediaries to find suitable counter-parties
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
/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
direction primarily by considering the balance of three dimensions – economy, society and environment – under good corporate governance, appropriate risk management and effective cost management. At the same
Securities brokers, dealers and underwriters ë Derivatives agents/dealers ë Mutual fund/private fund/derivatives management ë Venture capital management ë Securities/derivatives investment advisors ë