). “derivatives business” means the undertaking to provide services as the following: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other
) stipulates that the issuance of rules, conditions and procedures for undertaking securities businesses in the categories of securities brokerage, securities dealing, investment advisory service, securities
issuance of rules, conditions and procedures for undertaking securities businesses in the categories of securities brokerage, 3 securities dealing, investment advisory service, securities underwriting
efficiently supervise and examine the operation of such branch office in order to facilitate business undertaking and management of the organization of securities company to be more flexible and capable of
บุคคลนั้นเอง (enforceable undertaking) หรือไดเ้ปิดเผยข้อมูลการด าเนินการของส านักงานเกี่ยวกับการปฏิบัติหน้าที่บกพร่องของบุคคลดังกล่าว แล้วแต่กรณี 2 (ค) ค าขอความเห็นชอบที่ยื่นภายหลังการให้ความเห็นชอบครั้ง
Business License under Ministerial Regulation Concerning Granting of License for Undertaking Securities Business B.E. 2551 2008) 14 08/05/2008 01/06/2008 11. Notification of Capital Market Supervisory
-high Net Worth Investor and High Net Worth Investor 08/02/2017 16/02/2017 3. Notification of the Securities and Exchange Commission KorThor. 18/2554 Principles for Undertaking Securities and
Securities and Exchange Act 2535 116 12/03/1992 16/05/1992 2. Notification of the Securities and Exchange Commission KorThor. 18/2554 Principles for Undertaking Securities and Derivatives Businesses