derivative contract ซึ่งตามข้อเท็จจริงที่หารือระบุว่าประกอบธุรกิจเป็นผู้ค้าสัญญาซื้อขายล่วงหน้าอยู่นอกราชอาณาจักร และไม่ได้รับอนุญาตจากสำนักงานให้ประกอบธุรกิจเป็นผู้ค้าสัญญาซื้อขายล่วงหน้าในประเทศไทยมีบริษัท
SEC has a plan to revise the relevant notification to allow investment consultants of operators of securities and the derivative contract business, who have expertise in investment and keeping
for ten years, starting from June 23, 2011.As Chalerm was penalized while he acted as a branch manager, he was deemed having prohibited characteristics for securities and derivative business personnel
her client to buy derivative warrant without informing the client of specific risk of securities, the securities? last trading date and maturity date. {A} admitted that she advised the client to buy
and Holidays of Derivatives Business Operators dated 3 August 2009, the SEC Office hereby declares Monday, 16 May 2011 a special holiday of securities companies and derivative business operators
securities clients.Essentially, securities companies and derivative business operators would be allowed to invest their clients? assets in money market funds as well as bills of exchange and promissory notes
Bangkok, April 1, 2013- The SEC permits the 51th- 100th shares in the SET100 Index as underlying securities for Derivative Warrant (DW) and revises the process of DW issuance and offering to
more efficient supervision on derivative businesses, especially in the areas of relevant transactions and industries which will be beneficial to investors and development of Thai economy.? Wanchai
, hereby issues the following regulations: Clause 1 This Notification shall come into force from 1 November 2013. Clause 2 In this Notification: “ intermediary ” means: (1) a derivative business operator in
, hereby issues the following regulations: Clause 1 This Notification shall come into force from 1 November 2013. Clause 2 In this Notification: “intermediary” means: (1) a derivative business operator in