. Notification of the Securities and Exchange Commission No. Kor Thor. 11/2553 Re: Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer _____________ By virtue
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
operator, futures trading manager or futures supporting agent pursuant to the law governing agricultural futures trading shall submit their application for approval to the Office of the Securities and
e-service Online Submission Derivatives Agent >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission 35/2548 13/09/2005
Definitions of Institutional Investor, Ultra-High Net Worth Investor and High Net Worth Investor. The terms, “unit”, “ASEAN Collective Investment Scheme”, “APEC Asia Region Funds Passport”, “CIS operator”, and
e-service Online Submission Derivatives Agent >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission 7/2560 16/02/2017
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 28. A derivatives business operator shall prepare and submit financial statements to the SEC Office. Such financial statement shall be made