Derivatives Broker Registered Derivatives Broker Securities Dealer Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company
, finance company, securities company (broker/dealer/TSFC) or a foreign financial institution with credit ratings in the first four categories by an approved credit rating agency. (4.2) Exchange traded funds
condition under the following cases: (1) In the case of unitholding in ETF by the Participating Dealer( PD)/Market Maker (MM) as appointed by the mutual fund management company; (2) A retirement fund (RMF
/ Registration • Brokerage о Securities Brokerage о Derivatives Agent о Guidelineon the commencement for operation of securities / derivatives business • Dealer о
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
Summary of the Emergency Decree on Digital Asset Businesses B.E. 2561 Initial Coin Offering Digital Asset Operator Exchange, Broker, Dealer ICO Portal List of licensed / approval digital asset business
Notification of the Ministry of Finance SHARE : Detail Content -Unofficial translation- The Notification of the Ministry of Finance Re: Classification of Inter-Dealer Brokerage as Securities Businesses