Best Brokerage Lawyers in Bangkok

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SB Law Asia

SB Law Asia

30 minutes Free Consultation
Bangkok, Thailand

Founded in 2014
9 people in their team
English
Hebrew (modern)
Yiddish
Thai
SB Law Asia - Bangkok’s leading law firm, offering top-tier legal solutions across Thailand with a skilled, multi-disciplinary team. Welcome to SB Law Asia, Bangkok's leading law firm dedicated to providing top-tier legal solutions across Thailand. Our distinguished multi-disciplinary team...
SIAM LEGAL INTERNATIONAL

SIAM LEGAL INTERNATIONAL

1 hour Free Consultation
Bangkok, Thailand

Founded in 2003
55 people in their team
Thai
English
Russian
French
Siam Legal International is a premier full-service law firm headquartered in the heart of Bangkok. Established with a vision to bridge legal intricacies between local Thai and international cultures, we have become a trusted partner to a diverse range of clients, especially expatriates who choose...

Legal guides written by SIAM LEGAL INTERNATIONAL:

  • Personal Injury Claims in Thailand: What the Law Says and Options for Settlements
  • Defamation Laws in Thailand: Criminal Charges and Civil Suits
  • The State of Thailand’s Long-Term Resident (LTR) Visa Program in 2025
Lafs Legal

Lafs Legal

30 minutes Free Consultation
Bangkok, Thailand

Founded in 2022
10 people in their team
Thai
English
Russian
About Us: LAFS Legal, situated in the heart of Bangkok, stands as a distinguished boutique law firm that epitomizes dedication and precision. We are unwavering in our commitment to offer meticulously crafted, efficient, and competitively priced legal solutions tailored specifically to the...
SPECTER CNC & PARTNERS

SPECTER CNC & PARTNERS

1 hour Free Consultation
Bangkok, Thailand

Founded in 2024
20 people in their team
English
Thai
Russian
French
At Specter CNC & Partners Co., Ltd., we are dedicated to providing world-class legal services across Thailand. With our head office located in Bangkok, we also have dedicated legal teams strategically positioned in key provinces such as Phuket, Koh Samui, Koh Phangan, and Pattaya. This enables...
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Founded in 2024
6 people in their team
English
Thai
About Principle Law | Boutique Business Law Firm in BangkokWelcome to Principle Law and Advisory — your trusted legal partner in the heart of Bangkok.We are a modern, boutique law firm with a fresh perspective and deep legal expertise. Though newly established, our team brings together decades of...
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Founded in 2023
7 people in their team
English
Thai
Japanese
P&R International Company Limited, established by attorneys Pratchaporn Seetho and Ratchaporn Seetho, offers comprehensive legal services to both Thai and international clients. With over a decade of experience, the firm's legal team specializes in asset management, family law, inheritance, tort...
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G.A.M. Legal Alliance
Bangkok, Thailand

Founded in 2011
9 people in their team
English
Thai
French
GAM Legal Alliance as a Thai law firm, is one of the leading law firms in Thailand and is well established in Bangkok. Speak to us today for legal advice and assistance. If you are looking for a law firm then look no further than GAM Legal Alliance in Bangkok.If you need legal advice and assistance...
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English
Sutin and Friends International Law Office, established in 1989 by Mr. Sutin Jamallsawat, is a reputable law firm based in Krabi, Thailand. Recognized by the Lawyers Council of Thailand under registration number 0262/2546, the firm offers comprehensive legal services to both Thai and international...

English
บริษัท SBM Groups จำกัด is a distinguished Thai law firm offering comprehensive legal consultancy services. The firm specializes in areas such as financial investment, free zones, international trading, and industrial agency, providing clients with tailored solutions to...

English
Thai Scandinavian Law Office, located in Pattaya, Thailand, is an international law firm specializing in providing comprehensive legal services to foreigners. All attorneys are registered with the Lawyers Council of Thailand and collaborate with law offices in Sweden and Denmark. With a collective...
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About Brokerage Law in Bangkok, Thailand

Brokerage law in Bangkok, Thailand governs the operations and conduct of brokerage firms and individual brokers engaged in buying and selling securities and other financial instruments. Given Bangkok's status as a major financial hub in Southeast Asia, the brokerage sector is robust, with myriad local and international players operating in the market. Thai brokerage law is overseen by the Securities and Exchange Commission (SEC) of Thailand, which ensures that financial operations are carried out legally and ethically. The laws aim to protect investors, maintain fair and efficient markets, and facilitate capital formation.

Why You May Need a Lawyer

There are several situations where you might require legal assistance in brokerage activities in Bangkok. Common instances include disputes regarding investment contracts, issues with compliance and regulatory adherence with the SEC, fraud allegations, and resolving conflicts that arise during transactions. Furthermore, if you are establishing a new brokerage firm or are involved in mergers and acquisitions, navigating the complex legal landscape requires expert legal advice to ensure all operations are in line with local laws and international standards.

Local Laws Overview

Brokerage operations in Bangkok are primarily governed by the Securities and Exchange Act, the Derivatives Act, and associated regulations established by the SEC. Key aspects of local laws include licensing requirements for firms and individuals, mandatory disclosure requirements, investment protection measures, anti-fraud regulations, and rules governing conflicts of interest. Additionally, the laws require all brokers to have risk management and internal control systems compliant with the guidelines provided by the SEC.

Frequently Asked Questions

What licenses are required for a brokerage firm to operate in Bangkok?

Brokerage firms must obtain a securities business license from the SEC to operate legally in Bangkok. Different types of licenses are available depending on the brokerage services offered.

How can an investor protect themselves from brokerage fraud?

Investors should perform due diligence before investing, verify the broker's licenses, and understand the terms of their investments fully. Engaging a lawyer can provide additional safeguards against fraud.

What are the primary responsibilities of a broker under Thai law?

Brokers must act in the best interest of their clients, provide transparent and honest information, and comply with all regulatory requirements set by the SEC.

Can foreign investors own brokerage firms in Bangkok?

Yes, foreign investors can own brokerage firms in Bangkok, but they must comply with specific ownership restrictions and legal requirements as stipulated by Thai law.

What should I do if I suspect my brokerage firm is acting unlawfully?

If you suspect misconduct, you can report it to the SEC and seek legal advice to understand your rights and possible actions.

Are there specific regulations for online brokerage platforms?

Yes, online brokerage platforms are subject to the same regulations as traditional brokerages, including requirements for licensing, security measures, and compliance with disclosure norms.

What penalties are imposed for non-compliance with brokerage laws in Bangkok?

Penalties include fines, suspension or revocation of licenses, and in severe cases, imprisonment for violations involving fraud or significant breaches of the law.

How does the Thai SEC enforce brokerage laws?

The SEC conducts regular audits and inspections, imposes penalties for non-compliance, and collaborates with other regulatory bodies for enforcement.

What are the compliance requirements for a brokerage firm?

Firms must have effective risk management, corporate governance, and conflict resolution frameworks in place while regularly reporting to the SEC and adhering to all legal obligations.

How can legal advice assist a broker during a dispute?

Legal advice can help identify the root of the dispute, navigate legal jargon, resolve issues amicably, and ensure brokers comply with all applicable laws to avoid potential liabilities.

Additional Resources

Individuals seeking further information or assistance can consult resources such as the Securities and Exchange Commission of Thailand for regulatory requirements, the Thai Investors Association for investor support, and professional legal associations in Bangkok for referrals to qualified legal practitioners specializing in brokerage law.

Next Steps

If you require legal assistance in brokerage matters, consider consulting a legal expert who specializes in financial or securities law in Thailand. Begin by gathering all relevant information concerning your issue, document any correspondence or evidence related to your case, and schedule consultations with legal professionals. Additionally, verifying the credentials of any lawyer or firm you consider hiring ensures they have experience and a track record in brokerage law.

Lawzana helps you find the best lawyers and law firms in Bangkok through a curated and pre-screened list of qualified legal professionals. Our platform offers rankings and detailed profiles of attorneys and law firms, allowing you to compare based on practice areas, including Brokerage , experience, and client feedback. Each profile includes a description of the firm's areas of practice, client reviews, team members and partners, year of establishment, spoken languages, office locations, contact information, social media presence, and any published articles or resources. Most firms on our platform speak English and are experienced in both local and international legal matters. Get a quote from top-rated law firms in Bangkok, Thailand - quickly, securely, and without unnecessary hassle.

Disclaimer:
The information provided on this page is for general informational purposes only and does not constitute legal advice. While we strive to ensure the accuracy and relevance of the content, legal information may change over time, and interpretations of the law can vary. You should always consult with a qualified legal professional for advice specific to your situation. We disclaim all liability for actions taken or not taken based on the content of this page. If you believe any information is incorrect or outdated, please contact us, and we will review and update it where appropriate.