SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness, customer service and information system, internal control system, and risk management system. In add...
Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals Derivatives
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide a structure for managing, the work system
Finnomena Mutual Fund Brokerage Securities Company Limited Between March 23, 2021 and March 15, 2022 Finnomena Mutual Fund Brokerage Securities Company Limited ("Finnomena"), a Securities
ชื่อผู้ได้มา/จำหน่าย :?DEUTSCHE BANK AG LONDON PRIME BROKERAGE | ประเภทหลักทรัพย์ : หุ้น | วันที่มีหน้าที่ : 05/07/2549
ชื่อผู้ได้มา/จำหน่าย :?DEUTSCHE BANK AG LONDON PRIME BROKERAGE | ประเภทหลักทรัพย์ : หุ้น | วันที่มีหน้าที่ : 14/10/2548
ชื่อผู้ได้มา/จำหน่าย :?DEUTSCHE BANK AG LONDON PRIME BROKERAGE | ประเภทหลักทรัพย์ : หุ้น | วันที่มีหน้าที่ : 02/05/2549
Finnomena Mutual Fund Brokerage Securities Company Limited Between April 29, 2022 and May 22, 2022 Finnomena Mutual Fund Brokerage Securities Company Limited ("Finnomena"), a Securities
Finnomena Mutual Fund Brokerage Securities Company Limited Between January 18, 2021 and July 4, 2022 Finnomena Mutual Fund Brokerage Securities Company Limited ("Finnomena"), a Securities