Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals Derivatives
Determination of Paid-Up Registered Capital of Licensed Operators to Undertake Derivatives Business
Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party
Guidelines Regarding Roles and Expectations of Directors of Securities Companies and Derivatives Business Operators
Holidays of Securities Companies and Derivatives Business Operators for the Year 2020 (No. 2)
แนวทางปฏิบัติสำหรับการบริหารความต่อเนื่องทางธุรกิจ (Business Continuity Management)
of all 25 audit firms and individual approved auditors. The average score weighed against the total market capitalization was 1.64, compared to 1.79 in the first-cycle inspection during 2010-2012
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
The SEC has found numbers of cases of online fraudulent actions involving the unauthorized use of names, logos, executive or staff images of the SEC, the capital market business operators as well
description of each product line or business group shall contain at least the information in 2.2.1 to 2.2.4 hereunder. (In case of a single product line, the separate description is not required and the