Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer
Rules on the Undertaking Derivatives Business for Derivatives Broker and Dealer in the Category of Registered Type
: Clause 1 In this Notification: " derivatives dealer " means a person holding a license to undertake a derivatives business in the category of derivatives dealer ; " institutional investor " means an
In this Notification: "derivatives dealer" means a person holding a license to undertake a derivatives business in the category of derivatives dealer; "institutional investor" means an institutional
. KorThor. 12/2553 Re: Determination of Undertaking not Deemed as a Derivatives Dealer By virtue of Section 3 and Section 9 of the Derivatives Act B.E. 2546 (2003) which contains certain provisions relating
ประกอบการพิจารณา นอกจากนี้ ยังเป็นครั้งแรกที่ ก.ล.ต. ใช้การเขียนภาพสรุปเนื้อหา (visual recording) ให้เข้าใจง่าย ซึ่งจะช่วยให้ผู้บริหารและพนักงาน ก.ล.ต. มีความเข้าใจในแนวทางและทิศทางการทำงาน เพื่อร่วมกัน
proposed amendments, an IPO issuer would prepare and disclose the necessary information in the visual and audio formats to better respond to investors? growing habit of accessing news and information from
Printable Format - Laws and Regulations Marketing |- Approval and Standards Practice |- Code of Conduct |- Fees |- Related Circular Letter Bond Dealer and Underwriter |- Fees (section 14 and 19