delivered include financial and investment planning, proper saving and investment methods, and self-protection from falling victim to financial frauds and scams. Ms. Ruenvadee Suwanmongkol, SEC Secretary

person undertaking derivatives business without obtaining proper authorization from the SEC in contravention of Section 16 of the Act shall be criminally liable under Section 125 of  the Act. The SEC

: “ intermediary ” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “ affiliated

: “intermediary” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “affiliated

: “intermediary” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “affiliated

inter-dealer brokerage company, and registered derivatives intermediary; “ intermediary’s board of directors ” means the board of directors of an or a committee assigned by the board of directors of an

-dealer brokerage company, and registered derivatives intermediary; “intermediary’s board of directors” means the board of directors of an or a committee assigned by the board of directors of an

-dealer brokerage company, and registered derivatives intermediary; “intermediary’s board of directors” means the board of directors of an or a committee assigned by the board of directors of an

01/03/2017 2. Notification of the Securities and Exchange Commission  KorThor. 7/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer

e-service Online Submission Derivatives Dealer >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission  KorThor 3/2551