Rules on the Undertaking Derivatives Business for Derivatives Broker and Dealer in the Category of Registered Type
Rules on the Undertaking Derivatives Business for Derivatives Broker and Dealer in the Category of Registered Type
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
or Agent (individual) Acting as Investor Contact of the Company D erivatives Agent Licensed Derivatives Broker Registered Derivatives Broker Securities Dealer Securities Companies and Other
of the Securities and Exchange Commission  Kor Thor. 11/2553 Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer (Codefied) 15/07/2010 01/08
และจัดจำหน่ายหลักทรัพย์ที่เป็นหน่วยลงทุน (Limited Broker Dealer Underwriter LBDU) ข้อมูลทั่วไป ชื่อ-นามสกุล * ตำแหน่ง ชื่อบริษัท/องค์กร * อาชีพ/ประเภทธุรกิจ โทรศัพท์ โทรสาร อีเมล์
WSD Financial (NZ) Ltd. WSD Financial (NZ) Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the
WSD International (Thailand) Co., Ltd. WSD International (Thailand) Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses
Mr.Parin Pruksawan During December 17, 2013 – January 9, 2014 Mr. Parin Pruksawan, a trader of DBS Vickers Securities (Thailand) Co.,Ltd, performed his duty dishonestly by using information to