Rules on the Undertaking Derivatives Business for Derivatives Broker and Dealer in the Category of Registered Type
offering and undertaking of digital asset businesses with the authority to issue relevant rules, conditions and procedures.?? The public consultation covers the key principles for laying out appropriate
the Capital Market Supervisory Board No. TorThor. 93/2552 Re: Rules for Undertaking Derivatives Brokerage Business Overseas for derivatives Brokers (codified) By virtue of Section 18 of the Derivatives
translation is strictly for reference. 4 Notification of the Capital Market Supervisory Board No. Tor Thor. 80/2552 Re: Criteria for Undertaking Derivatives Business for Licensed Derivatives Brokers
translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Thor. 80/2552 Re: Criteria for Undertaking Derivatives Business for Licensed Derivatives Brokers
translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Thor. 80/2552 Re: Criteria for Undertaking Derivatives Business for Licensed Derivatives Brokers
for public offerings. Also a concern at the initial stage of development was the overlapped market supervision under the authority of multiple agencies as seen in the following areas: Securities
] has certain behaviors indicating unlawful acts subject to administrative sanction; (4) “authority” means the SEC, administrative panel and the SEC Office, as the case maybe; (5) “administrative panel
aided and abetted Devere & Partners and Mr. Ian McIntyre by allowing them to use the name and email of Broadgate for undertaking such unlicensed business.Actions of the three persons above violated
undertaking of securities business without having obtained a license under Section 90 and subject to penalties under Section 289 of the Securities and Exchange act B.E. 2535 (1992), namely an imprisonment