Licensed Derivatives Advisors (Codefied) 01/02/2010 01/02/2010 Notification of Capital Market Supervisory Board TorKhor. 4/2553 Rules on Undertaking of Derivatives Business for Licensed Derivatives
for Undertaking Businesses as Derivatives Business Operator (No. 2) dated 14 December 2017; 2 Clause 2 In this Notification: “licensee” means: (1) person licensed to undertake securities business
for Undertaking Businesses as Derivatives Business Operator (No. 2) dated 14 December 2017; Clause 2 In this Notification: “ licensee ” means: (1) person licensed to undertake securities business
exchange” means a person licensed to undertake business as derivatives exchange; (2) “derivatives clearing house” means a person licensed to undertake business as derivatives clearing house; (3) “director
securities business in the category of securities brokerage, securities dealing or securities underwriting, and (2) a person licensed to undertake the derivatives business in the category of derivatives agent
, electronic data, and computer data. Clause 3 This Notification shall apply to the persons licensed to engage in securities business or derivatives business in the https://publish.sec.or.th/nrs/7038pe.doc
back office possessing important information of funds and customers will be allowed to outsource only to the business operators? subsidiaries or financial institutions. Outsourcing to other licensed
The key points of the amendments to the qualifications of bondholder representatives are as follows: (1) A securities company licensed to operate securities brokerage business, securities