. Notification of the Securities and Exchange Commission No. Kor Thor. 11/2553 Re: Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer _____________ By virtue
worth investor”, “institutional investor” , “structured notes”, and “short-term bond ” shall have the same meanings as defined in the Notification of the Securities and Exchange Commission concerning
) | - |- Others Securities Dealer Business |- Licensing / Registered Capital / Fees | - |- Licensing (Section 90) | - |- Activities NOT deem TO be classified AS operating securities business | - |- Registered
digital asset exchange. This Bitazza’s service shall be deemed to be the operation of a digital asset dealer without a license. In addition, Bitazza and Freedomverse Company Limited ("FreedomVerse"
Bangkok, April 22, 2015 - The SEC suspended {A}, a securities investment consultant and a branch manager of CIMB Thai Bank PCL, for signing selling documents of structured notes without giving of
Dealer (Codefied) 15/07/2010 01/08/2010 Notification of the Securities and Exchange Commission KorThor 11/2553 Registration of Derivatives Business Operator in the Category of Derivatives Broker and
. Notification of Capital Market Supervisory Board TorThor. 22/2553 Rules on the Undertaking Derivatives Business for Derivatives Broker and Dealer in the Category of Registered Type (Codefied) 01/06/2010
ลงทุนในตราสาร ที่มีลักษณะของสัญญาซื้อขายลวงหนาแฝง (“structured note”) ที่มีการจายผลตอบแทนอางอิงกับราคา ทองคํา เปนตน 1.2 แนวทางการอนุญาต เนื่องจากทองคาํแทงมีคุณสมบัติเฉพาะตวัไมเหมอืนกับหลักทรัพย
Bond SUKUK Structured Debenture Common share (LiVEx) DR-Common share Depositary Receipt DR-Convertible debenture Depository Receipt Representing Foreign Securities NVDR Preferred share TDR TSR Warrant