Commission No. SorThor. 19/2552 Re: Report on Trading of Securities and Derivatives in Foreign Countries of Derivatives Broker _____________ By virtue of Section 14 and Section 19 of the Derivatives Act B.E
Office of the Securities and Exchange Commission No. SorThor. 19/2552 Re: Report on Trading of Securities and Derivatives in Foreign Countries of Derivatives Broker _____________ By virtue of Section 14
Office hereby issues the following regulations: Clause 1 In this Notification: “ derivatives broker ” means a person licensed to undertake derivatives business in the category of derivatives brokerage
Office hereby issues the following regulations: Clause 1 In this Notification: “derivatives broker” means a person licensed to undertake derivatives business in the category of derivatives brokerage
ตั้งตัวแทน ขายหรือรับซื้อคืนหน่วยลงทุน (selling agent) และหลักเกณฑ์เพิ่มเติมของบริษัทหลักทรัพย์ประเภท การเป็นนายหน้า ค้า และจัดจ าหน่ายหลักทรัพย์ที่เป็นหน่วยลงทุน (Limited Broker Dealer Underwriter
Commission No. SorThor. 19/2554 Re: Report on Trading of Securities and Derivatives in Foreign Countries of Derivatives Broker under Quota Allocation By virtue of Section 14 and Section 19 of the Derivatives
Exchange Commission No. Kor Thor. 33/2560 Re: Maintenance of Financial Condition of Licensed Derivatives Broker ________________________ By virtue of Section 9 and Section 49 of the Derivatives Act B.E. 2546
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No