securities business operator in the category of mutual fund or private fund management or as trustee or custodian; (2) a financial institution established under other laws and later licensed to undertake

securities business operator in the category of mutual fund or private fund management or as trustee or custodian; (2) a financial institution established under other laws and later licensed to undertake

Institutional Investor ; (4) “ derivatives exchange ” means a derivatives exchange that is licensed by the Securities and Exchange Commission; (4/1) “ foreign derivatives business operator ” means a person

Institutional Investor; (4) “derivatives exchange” means a derivatives exchange that is licensed by the Securities and Exchange Commission; (4/1)1 “foreign derivatives business operator” means a person licensed

Institutional Investor; (4) “derivatives exchange” means a derivatives exchange that is licensed by the Securities and Exchange Commission; (4/1)1 “foreign derivatives business operator” means a person licensed

สมาชิกของ WFE1 1.2 อีทีเอฟต่างประเทศและผู้รับผิดชอบดำเนินการของอีทีเอฟต่างประเทศ (ETF operator) ต้องอยู่ภายใต้การกำกับดูแลของหน่วยงานกำกับดูแลต่างประเทศที่เป็นสมาชิกของ IOSCO2

MRF (for inbound only) A CIS Operator must submit a completed Form 35 – HK-TH MRF in hard copies accompanied by all supporting documentation as specified in Form 35 – HK-TH MRF to the SEC Thailand for

แบบรายงานการปฏิบัติหน้าที่ของผู้แนะนำรายชื่อลูกค้า (introducing broker agent) ของผู้ประกอบธุรกิจสินทรัพย์ดิจิทัล

following juristic persons shall be institutional investors under Section 3 of the Derivatives Act, B.E. 2546 (2003): (1) a commercial bank; (2) a derivatives business operator; (3) a derivatives business

of Derivatives Business Operator B.E. 2553 (2010)   01/02/2010 01/02/2010 11. Notification of the Office of the Securities and Exchange Commission Guidelines for Application and Approval for