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
. ■ 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
capacity. It also highlights the need to disclose and minimize conflicts of interest that may compromise the integrity of proxy advisors, analysts, brokers, rating agencies and others that provide analysis
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
corporate governance reduces emerging market vulnerability to financial crises, reinforces property rights, reduces transaction costs and the cost of capital, and leads to capital market development. Weak
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
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
, 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
Techniques: Investment Scams ë Investor Alerts: Unlicensed Brokers-Fund Management Businesses ë From Pyramid Schemes to Mutual Fund Scams ë Additional Rights of Investors under the New SEA, etc. (2