Derivatives Act B.E.2546 (2003). In addition, WSD Financial (NZ) Ltd. claimed to be legitimate licensee of derivatives business in Thailand , in fact it had been registered with the SEC as derivatives dealer
Financial (NZ) Ltd. had been registered with the SEC as derivatives dealer but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed
/ Registration • Brokerage о Securities Brokerage о Derivatives Agent о Guidelineon the commencement for operation of securities / derivatives business • Dealer о
characteristics: (a) being licensed or registered as a derivative dealer under the Derivatives Act, B.E. 2546; (b) if the Company is not qualified under (a), the Company shall demonstrate that it has one of the
. Notification of the Securities and Exchange Commission No. Kor Thor. 11/2553 Re: Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer _____________ By virtue
. Notification of the Securities and Exchange Commission No. Kor Thor. 11/2553 Re: Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer _____________ By virtue
. Notification of the Securities and Exchange Commission No. Kor Thor. 11/2553 Re: Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer _____________ By virtue
) | - |- Others Securities Dealer Business |- Licensing / Registered Capital / Fees | - |- Licensing (Section 90) | - |- Activities NOT deem TO be classified AS operating securities business | - |- Registered
SHARE : Detail Content -Unofficial translation- Ministerial Regulation Concerning Approval on Undertaking of Securities Business in the Category of Inter - dealer Brokerage B.E. 2545 By virtue
Business in the Category of Inter - dealer Brokerage B.E. 2545 By virtue of Section 7 and the fourth paragraph of Section 90 the Securities and Exchange Act B.E. 2535 which is an Act containing