derivatives (contract), derivatives business, derivatives exchange, derivatives clearing house, regulatory association of derivatives business operators and prevention of unfair derivatives trading practices

Office of the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be Director and Executive of Derivatives Business Operator B.E. 2553 (2010)   01/02

fundraisers. Currently, there are several companies interested in applying for an approval to operate a debt funding portal business.  In addition, the SEC has amended the overall crowdfunding requirements

Bangkok, April 4, 2011 - The SEC Board at its meeting No. 4/2011 today has approved the issuance of new license for undertaking brokerage business limited to precious metals derivatives covering gold

advisor supervisors failed to exercise due care in reviewing the information thoroughly which may mislead investors into believing the company continued to expand the business capable of generating

Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account

Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct ______________________ Currently, each securities company undertakes various categories of securities businesses but

Kingdom of Thailand so permit by virtue of law, the Securities and Exchange Commission, upon approval of the Cabinet, hereby issues the following regulations: Clause 1. Licensee to undertake business of

and Approval for Appointment of an Executive of a Derivatives Business Operator   31/10/2005 01/11/2005     10. Report/Form (Notification of Securities and Exchange Commission) Form OrPor 24-1 Form for

professional ethics or standards as stipulated by an association under the Office’s approval, thereby having a possibility to cause a lack of confidence in the business of investment management as a whole or