e-service Online Submission Derivatives Dealer >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission 35/2548 13/09
this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; (2) “market maker of gold derivatives” means any person
following regulations: Clause 1. In this Notification: (1) “Notification of the Board of Governors of the Stock Exchange of Thailand” means the Notification of the Board of Governors of the Stock Exchange of
the following regulations: Clause 1 In this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; (2) “market maker of
for Establishment of Risk Management System to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism dated 1 March 2007 ( Notification No. SorThor/Nor/Yor/Khor. 3/2550
for Establishment of Risk Management System to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism dated 1 March 2007 (Notification No. SorThor/Nor/Yor/Khor. 3/2550
, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 re
and Clause 6(1) of the Notification of the Capital Market Supervisory Board No. Tor Thor/Nor/Khor 37/2553 Re: Prohibited Characteristics of Capital Market Personnel date 15 September 2010, which were