In this Notification: "derivatives dealer" means a person holding a license to undertake a derivatives business in the category of derivatives dealer; "institutional investor" means an institutional
In this Notification: "derivatives dealer" means a person holding a license to undertake a derivatives business in the category of derivatives dealer; "institutional investor" means an institutional
Determination of Undertaking not Deemed as a Derivatives Dealer
control and follow up measures to ensure effective implementation . Clause 4/1. The applicant for a derivatives business operator registration in the category of derivatives dealer under Clause 2 (4) shall
, including control and follow up measures to ensure effective implementation . Clause 4/1.2 The applicant for a derivatives business operator registration in the category of derivatives dealer under Clause 2
คู่มือประชาชน effective Filing
e-service Online Submission See canceled document Derivatives Dealer >> Registration Type Title Section See Document Status Notified Date Effective Date 1. Act The Derivative Act B.E. 2546 16 03
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
Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer (No. 2)
Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer