/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer By virtue of Section 6, Section 9 and the third paragraph of Section 16 of the
: “Securities company” means a company licensed to undertake securities business in the category of securities brokerage or securities dealing; “Foreign securities” means securities which are issued in foreign
The Ethical Standards Committee requires that state agencies formulate a code of ethics in accordance with the ethical standards specified under the Ethical Standards Act B.E. 2562 (2019). The
company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment
to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a
. Clause 3. In this notification: “securities” means securities which are debt Securities; “securities company” means a company licensed to undertake securities business in the category of securities dealing
particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any
, investor contact will be able to take only the test specific to such product. The test offers 4 sections which are equity instrument, debt instrument, mutual fund and derivatives. Titles of ?Category A