Printable Format - Laws and Regulations Investment Advisory |- Licensing/Ministerial Regulation |- Activities not deem to be classified as operating securities business |- Business Operation Rules
Printable Format - Laws and Regulations Derivatives Agent |- Definitions (Section 3) |- Licensing / Registration (Section 16) | - |- Licensing | - |- Activities NOT deem TO be classified AS operating
Intermediaries and professional Number of Companies 150 As of : 08 Mar 2025 Last Updated : 09 Mar 2025 Intermediaries and professional summary Number of Companies Classified by Type of Companies Download data
Personnel in Capital Market dated June 3, 2014; classified as prohibited characteristics of personnel in capital market according to Clause 31(1) of the same Notification. Meanwhile, {A}, then a branch
for Application for Offer for Sale of Newly Issued Securities and Application for Securitization Project on the date when a set of complete and accurate application together with the evidentiary
3 of Derivatives Act B.E. 2546 (2003) and the notifications of the SEC related to additional determination of type of juristic person classified as institutional investor. (4) “derivatives exchange
. 2546 (2003) and the notifications of the SEC related to additional determination of type of juristic person classified as institutional investor. (4) “derivatives exchange” means derivatives exchange
institutional investor under Section 3 of the Derivatives Act B.E. 2546 (2003) and the relevant Notification of the Securities and Exchange Commission concerning Additional Types of Juristic Persons Classified as