Rules for Undertaking Derivatives Business for Registered Derivatives Broker and Dealer (No. 2)
Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer
Following an inspection report from SCB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units, SEC conducted a further inquiry and
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
Following the complaints from investors and the inspection reports from TMB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units