business operator, which undertakes business with price settlement and contract delivery obligations, uses qualifications for undertaking futures business in the category of futures brokerage following the
owner in shares under the fourth paragraph of Section 24, a director, an officer or an employee of such derivatives business operator. Furthermore, the auditor shall also adhere to the ethical code of
มำรถในกำรแข่งขนั หัวขอ้ที ๔.๔ โครงสร้ำงพืนฐำน เชือมไทย เชือมโลก หัวขอ้ที ๔... https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/LawReform/RIA-SEA.pdf DRAFT business operator requests to set off
หารือเกี่ยวกับบทบาทหน้าที่ และความรับผิดชอบของผู้ให้บริการหลัก (main operator) ภายใต้โครงการนำ Distributed Ledger Technology (DLT) มาใช้พัฒนาโครงสร้างพื้นฐานดิจิทัลกลางของตลาดทุนไทย เมื่อวันที่ 31 มีนาคม
: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012.
-account of a Thai intermediary’s omnibus account only. Moreover, investors may also transfer their investment portfolio from one Thai business operator to another Thai business operator and may transfer
’ impact on the business operation of the business operator according to the RLA (“Risk Level Assessment”) form, and submit the first results of such assessment to the SEC Office within 31 July 2023 However
the business operator according to the RLA (“Risk Level Assessment”) form, and submit the first results of such assessment to the SEC Office within 31 July 2023 However, KWI reported Risk Level