Financial Institutions Businesses Act; (2) a securities company licensed to be a securities business operator in the category of securities broker, or securities dealer which is not limited to debt
เปล่ียนแปลงอนัดบัความน่าเช่ือถือ (credit rating) ของตราสารหน้ีเพื่อสะทอ้นความเส่ียงของเงินลงทุนในงบการเงิน นอกจากน้ี หากลงทุนในตราสารหน้ี ท่ีไม่มีการจดัอนัดบัความน่าเช่ือถือ (unrated debt instrument) ผูป้
New Products สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 28 August 2022 21:23 New Product Prospectus / Filing Sales Report Shelf Approval Outstanding Domestic Debt PP Approval
securities business in the category of: Ο securities broker; Ο securities dealer that not limited only to debt instrument; Ο securities finance. 1.1 Category of juristic person of the applicant, □ a commercial
operate securities business in the category of: Ο securities broker; Ο securities dealer that not limited only to debt instrument; Ο securities finance. 1.1 Category of juristic person of the applicant, □ a
knowledge based on the guidelines and other relevant practices as follows: 1. Participation in activities accepted by the Office 1. Form of activities The Office prescribes the form of activity in which the
status. In order to ensure that all parties concerned understand and duly comply with the guidelines, the Office hereby offers clarification regarding the consideration of the skills and knowledge based on
providing service to a client, a derivatives broker shall proceed as follows: (1) determine the aggregate position limits for a client including the margin rate or value, based on fluctuation of derivatives