Derivatives Broker dated 25 November 2004. Clause 3 In the Notification: (1) “derivatives business license type Sor-1” means a license to undertake derivatives business in various categories consisting of (a
Derivatives Business Operator in the Category of Derivatives Broker dated 25 November 2004. Clause 3 In the Notification: (1) “derivatives business license type Sor-1” means a license to undertake derivatives
Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate
appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.
Bangkok, May 31, 2011 - The SEC will revise regulations on taking custody of client?s assets by securities company and derivatives broker in response to upcoming reduction of protected deposit under
Mr. Suwat Eiewaksorn Mr. Suwat Eiewaksorn conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a