Rules on the Undertaking Derivatives Business for Derivatives Broker and Dealer in the Category of Registered Type
Following an inspection report from SCB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units, SEC conducted a further inquiry and
Dealer | Licensed Derivatives Dealer Company Name Head Office Data not found Note : * refers to inactivated derivatives dealing Registered Derivatives Broker is able to engage in derivative business only
). “derivatives business” means the undertaking to provide services as the following: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other
. KorThor. 12/2553 Re: Determination of Undertaking not Deemed as a Derivatives Dealer By virtue of Section 3 and Section 9 of the Derivatives Act B.E. 2546 (2003) which contains certain provisions relating
country. In the future, they might move forward to other capital market businesses; for example, a business of limited broker, dealer and underwriter (LBDU), if they are able to meet with the requirements
businesses; for example, a business of limited broker, dealer and underwriter (LBDU), if they are able to meet with the requirements on registered capital, staff and management and working systems.? Suchada
e-service Online Submission Derivatives Dealing Registered Derivatives Dealer | Licensed Derivatives Dealer Securities Businesses Company Name Head Office 1. BUALUANG SECURITIES PUBLIC COMPANY
asset dealer. Digital asset exchange means a center or a network established for the purposes of trading or exchanging of digital assets, which operates by matching orders or arranging for the