Microsoft PowerPoint - SEC IC Slides for Unusual Transactions v4 Final 130324 26 มีนาคม 2567 โดย วารุณี ปรีดานนทท์ี ทปีรึกษาการกาํกบัดูแลกิจการ งานบริหารความเสียง ตรวจสอบภายใน ESG และ GRC ทปีรึกษากา

Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer (No. 2)

Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer

Re: Registration of Licensed Derivatives Business Operator in the Category of Derivatives Fund Manager

Registration of Derivatives Business Operator In the Category of Derivatives Advisor

Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals Derivatives

Exclusion of Credit Rating Agency Business from Securities Business in the Category of Securities Investment Advisory

Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer

Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals Derivatives

Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment Advisory or an Undertaking of