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Regulatory Principles / Objectives
Intermediaries are securities or derivatives business operators who mediate between securities issuers and investors, give investment advice and represent investors in securities trading. As investors’ assets are at stake, intermediaries must maintain a sound financial condition and undertake their businesses competently, responsibly and honestly.   
Any corporate entity wishing to undertake intermediary business must obtain a license or, in case of derivatives brokerage and dealing, be registered with the SEC beforehand. This is to ensure that practitioners and related persons including company directors and executives, investment analysts, investment consultants and investment planner are qualified to perform duties and provide quality services to investors.  
Intermediaries are also required to put in place reliable operational and risk management systems to safeguard clients’ assets and prevent negative impacts on the overall trading system.
Last updated on 06 May 2015
The Securities and Exchange Commission, Thailand
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