What Is A Stockbroker

What Is A Stockbroker

A stockbroker’s main task is to advise potential buyers about any operation to be carried out in the different financial markets. So we can say that the stockbroker is an intermediary, in charge of dealing between the broker and the investor who is interested in buying or selling.

Simplifying it, the stockbroker is the person who, with his knowledge and experience gathered by reading Forex books (หนังสือ forex ,which is the term in Thai), tries to offer the best returns to his clients.

What Functions Does A Stock Broker Have?

The different functions that a  stockbroker must perform are:

  • The purpose of spreading the launch of new issuers in the market, making the public know that information and acting directly in action.
  • To be the depositories of the values ​​of their clients and to maintain security on those titles and values ​​that they have of them.
  • Advise investors, issuers, and the public in general on the situation and evolution of the market to facilitate their decisions.
  • For a stockbroker to invest in the Exchange, one must be of legal age and have the right to own and transfer fully over the securities to be settled.
  • Being the stockbroker and the institution where the only ones who can legally carry out securities transactions, in addition to banks and financial institutions, work. Therefore, those who wish to invest in the market should contact one of the brokers that are associated with the Exchange.

What Requirements Must A Stockbroker Meet?

The stockbroker must meet a series of requirements that are written in the Securities Market Law, in addition to the Statutes and Regulations of Operations of the institution, to be an intermediary of the market. Also, the entity they work for must own one of the shares of the Santiago Stock Exchange.


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