process of temporarily suspending their business or suspended business operations by SEC List of company licensed Derivatives Broker (Securities Company) ชื่อย่อ ชื่อ เว็บไซต์ Company Abbreviation Company
ASSET SECTION 31. 2 The provisions of this Division shall apply to derivatives agent licensed under Section 16. The Capital Market Supervisory Board may, if appropriate, promulgate the notification https
, 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
ตลาดหลักทรัพย์ licensed derivatives business operator in the category of derivatives brokerage; “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures
operational systems for this purpose, the revised regulations will come into force as from 16 February 2024. ______________________________Remarks: * Means (1) a securities firm licensed to undertake the
provide the five-step wealth advisory service under the scope of their licensed business. Other interested business operators may submit an application for approval to SEC and SEC will consider their
) Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 9/2549 Re. Report Preparation and Submission of Licensed Derivatives Brokers dated 31 March 2006; (8) Notification of the Office
Forms of Securities Companies dated 28 November 2001 shall be repealed. Clause 2. In this Notification: “securities company” means a legal entity licensed to undertake securities business in the category