มิถุนายน 2558 เรื่อง (อ้างอิงจากเอกสารรับฟังความคิดเห็น และ guideline ฉบับที่ใช้ hearing) ความเห็นของผู้ประกอบธุรกิจ ความเห็นของสำนักงาน (อ้างอิงจากเอกสารรับฟังความคิดเห็น guideline และ FAQ ฉบับที่ใช้
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Application Form for Approval of Operation of Agricultural Futures Trading Business by Derivatives
Notification of the Capital Market Supervisory Board Tor Thor. 37/2560 Rules, Conditions and Procedures for Operation of Securities Clearing House, Securities Depository Center and Securities
Determination of Types of Operation of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are
has revised such regulations for the business providers to be able to mandate their operation to outsourcee with proficient personnel and working system as business operators, but the operation must
hedging 3. position of each types of goods or variable 4. position of each counterparty 5. position that is loss (c) efficient internal audit unit responsible for auditing the operation of the company; (d
for auditing the operation of the company; (d) independent compliance unit with acceptable standards and reliable for inspecting the operation of the company; (e) standard and reliable system for data
that is loss (c) efficient internal audit unit responsible for auditing the operation of the company; (d) independent compliance unit with acceptable standards and reliable for inspecting the operation
Securities and Exchange Commission concerning the Operational Control and Security relating to Information Technology of Licensed Derivatives Broker. Clause 6 The SEC Office may announce a detailed guideline
Broker. Clause 6 The SEC Office may announce a detailed guideline for the benefit of compliance with the requirement under this Notification. In case of having complied with such guideline, it shall be