Commission No. KorThor. 7/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer By virtue of Section 6, Section 9 and the third paragraph of
Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities
. 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
for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business operator, futures trading manager or futures
การเงินที่มีใบอนุญาตค้าตราสารหนี้ เทรดเดอร์ (Trader) หมายถึง เจ้าหน้าที่ค้าตราสารหนี้ของบริษัทที่เป็น Dealer โดยที่ Trader นี้จะต้องผ่านการทดสอบและขึ้นทะเบียนกับสมาคมตลาดตราสารหนี้ไทยด้วย ผู้ติดต่อกับ
). “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
: Clause 1 In this Notification: " derivatives dealer " means a person holding a license to undertake a derivatives business in the category of derivatives dealer ; " institutional investor " means an
Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By
Commission Notification of the Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33
Office of the Securities and Exchange Commission No. SorThor. 50/2549 Re: Rules on Waiver for Appointment of Independent Director of Derivatives Broker _____________ By virtue of the second paragraph of