derivatives, or in trading derivatives with a person licensed to undertake derivatives business in the category of derivatives dealer, shall not deem to be a derivatives dealer. Clause 2. This Notification
for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business operator, futures trading manager or futures
. Operators of derivatives business wishing to apply for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business
Category of the Securities Financing dated 28 July 1997; (2) Notification of the Office of the Securities and Exchange Commission No. Sor Thor/Nor. 26/2549 Re. Form for Financial Statements of Securities
Online Submission CA - Download Forms / Manuals Investment Advisory Juristic person who undertake securities business in the category of investment advisory services under the Securities and Exchange
Re: Determination of Characteristics of Services Not Deemed to Be Undertaking Digital Asset Business in the Category of Digital Asset Custodial Wallet Provider (No. 2) dated 14 December 2023: (https
Bangkok, March 8, 2011 - The SEC is seeking public comment on the proposal to strengthen role of compliance unit of securities company in the category of securities brokerage, dealing and
addition, the SEC will extend the scope of services for category B derivatives investor contact limited to gold derivatives to cover precious metals derivatives, and will allow selling agents whose services
comparison indicating maximum, minimum and average returns among mutual funds in the same category and will thus serve as useful information for making investment decision. The proposed rules classify mutual