Derivatives Dealer
|-
Definitions (Section 3)
|-
Licensing / Registration (Section 16)
|
-
|-
Licensing
|
-
|-
Activities NOT deem TO be classified AS operating securities business
|
-
|-
Registration
|-
Net Liquid Capital Rule (Section 49)
|-
Executives / Personnel
|
-
|-
Approval & Qualifications (Section 24)
|-
Major Shareholders
|
-
|-
Approval & Qualifications (Section 25)
|-
Business Conduct (Section 18)
|
-
|-
Licensed Companies
|
-
|-
Registered Companies
|
-
|-
Know Your Clients
|
-
|-
Books & Records Requirements
|
-
|-
Online Submission
|
-
|-
Risk Control
|
-
|-
Compliance / Internal control
|
-
|-
Information Technology
|-
Internal operation of Securities Companies
|
-
|-
Outsourcing Services
|
-
|-
Appoint service provider OR marketing representatives (Section 18)
|-
Auditors
|
-
|-
Approval (Section 30)
|-
Accounting and Financial Statements (Section 27, 28)
|-
Reporting Requirements
|-
Anti-money Laundering
|-
Arbitration
|-
Appeal
|-
Others
|
-
|-
Public Holidays
|
-
|-
Cooperation with Government Agencies
|
-
|-
Others
|
-
|-
สมาคมกำกับผู้ประกอบธุรกิจสัญญาซื้อขายล่วงหน้า