Securities Company or the Derivatives Business Operator (Form as of 1 July 2006) 19. Report/Form (Notification of Securities and Exchange Commission) Form 90-23 Application for a License to Undertake
for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business operator, futures trading manager or futures
business operations in securities and derivatives; (3) Revising the client asset custody rules: Granting an exemption for a transfer of client assets by allowing a business operator to proceed without
business operator having NC below the minimum requirements.Now, SEC has drafted related regulations by taking into account the concerns and suggestions raised by the private sector during the public
, there is one licensed derivatives exchange operator, namely Thailand Futures Exchange Public Company Limited (“TFEX”), which has operated since 2006. SEC has begun collecting fee from TFEX since 2011
คืบหน้าของโครงการในเรื่องต่าง ๆ เช่น การได้รับอนุมัติสนับสนุนโครงการจากกองทุนส่งเสริมการพัฒนาตลาดทุน (CMDF) การสรรหาผู้พัฒนาและบริหารจัดการโครงการ (main operator) ความคืบหน้าในการพัฒนาระบบ เป็นต้น รวม
following periods. A Business operator, if ready, may apply these rules to the financial statements for the accounting period commencing from 1 January 2019.The consultation paper is available at
for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012.
Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012.
securities company or derivatives broker for damage or loss incurred to client?s money and the business operator will be required to calculate value of instruments or securities in which client?s money are