regulations, however, do not apply to licensed venture capital, securities inter-dealer broker and securities investment advisors. For all of the licensees subject to the regulations, they must appoint the
Commission No. KorThor. 7/2547 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
/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
undertaking any act in compliance with this Notification. Clause 13. In case the derivatives broker invested in securities or held position for their proprietary account before the effective date of this
13. In case the derivatives broker invested in securities or held position for their proprietary account before the effective date of this Notification, such derivatives broker shall: (1) In case of
According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a
shall be repealed. Clause 3 In this Notification: (1) “ derivatives broker ” means a person who is licensed to undertake the derivatives business in the category of derivatives brokerage; (2) “ manager
shall be repealed. Clause 3 In this Notification: (1) “derivatives broker” means a person who is licensed to undertake the derivatives business in the category of derivatives brokerage; (2) “manager
shall be repealed. Clause 3 In this Notification: (1) “derivatives broker” means a person who is licensed to undertake the derivatives business in the category of derivatives brokerage; (2) “manager
Line อ้างชื่อ HSHGold Futures และ Line อ้างชื่อ Broker_Champ - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 09/04/2567)