for continuous and active management of all relevant risk exposure to be in line with its returns and risk appetite. Risk management and control units are responsible for providing independent and
regulations: Clause 1. In this Notification: “derivatives business operator” means a juristic person licensed to undertake derivatives business in the category of derivatives broker or derivatives fund manager
Notification: “derivatives business operator” means a juristic person licensed to undertake derivatives business in the category of derivatives broker or derivatives fund manager; “derivatives exchange” means a
(2008) _____________ Whereas Section 100 of the Securities and Exchange Act B.E. 2535 (1992) provides that the appointment of any person to be an agent or broker of a securities company shall require
) _____________ Whereas Section 100 of the Securities and Exchange Act B.E. 2535 (1992) provides that the appointment of any person to be an agent or broker of a securities company shall require prior approval from
บัญชีบริษัทหลักทรัพย์อื่น (SUB-BROKER) - บล. ___________ บัญชีลูกค้าต่างประเทศ - บุคคลธรรมดา - นิติบุคคล - กองทุนต่างประเทศ บัญชีลูกค้าในประเทศ - บุคคลธรรมดา - นิติบุคคล + สถาบันการเงิน + บริษัทประกัน
Derivatives Broker is able to engage in derivative business only with Institutional Investors Investor which is a financial institution under the Commercial Banking Act, securities company, non-life insurance
Maintenance of Financial Condition of Licensed Derivatives Broker 29/12/2017 16/01/2018 2. Notification of the Securities and Exchange Commission 28/2558 (Synopsis) 02/12/2015 16/12/2015 3. Notification
Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor 19/10/2004 01/11/2004 Contact The Securities and Exchange Commission, Thailand 333/3 Vibhavadi-Rangsit