Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer
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) | - |- Dealer of capital market product denominated in foreign currency | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of
seeking approval of investment analysts to pass examination on derivatives in addition to holding Certified Financial Planner (CFP) certification. Thai Bond Market Association bond dealer members will be
e-service Online Submission Bond Dealer and Underwriter >> Type Title Section See document Status Notified Date Effective Date 1. Notification of Capital Market Supervisory Board 23/2556 04/04
: Determination of Undertaking which is not Deemed to be A Derivatives Dealer 08/10/2004 20/10/2004 4. Notification of Capital Market Supervisory Board 45/2552 03/08/2009 01/09/2009 5. Notification of the