Securities and Exchange Commission Thailand

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Derivatives Dealer
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Definitions (Section 3)
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Licensing / Registration (Section 16)
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Licensing
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Registration
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Net Liquid Capital Rule (Section 49)
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Executives / Personnel
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Approval & Qualifications (Section 24)
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Major Shareholders
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Approval & Qualifications (Section 25)
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Business Conduct (Section 18)
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Licensed Companies
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Registered Companies
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Know Your Clients
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Books & Records Requirements
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Risk Control
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Compliance / Internal control
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Information Technology
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Internal operation of Securities Companies
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Outsourcing Services
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Appoint service provider OR marketing representatives (Section 18)
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Auditors
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Approval (Section 30)
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Accounting and Financial Statements (Section 27, 28)
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Reporting Requirements
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Anti-money Laundering
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Arbitration
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Appeal
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Others
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Public Holidays
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Cooperation with Government Agencies
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Others
  

The Securities and Exchange Commission, Thailand
333/3 Vibhavadi-Rangsit Road, Chomphon , Chatuchak Bangkok 10900, Thailand
Tel. +66 2033 9999 Fax. +66 2033 9660
e-mail : info@sec.or.th
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