Regulatory Alerts2003-01-01 | act-derivatives2003-amended.pdfDerivatives Act B.E. 2546 (2003) as amended
The Securities and Exchange Commission of Thailand is empowered to supervise derivatives trading and regulate derivatives business operators, exchanges, and clearing houses under this Act. The legislation mandates licensing or registration for entities providing derivatives brokerage, dealing, advisory, and fund management services while establishing strict eligibility criteria and ownership restrictions. It further imposes ongoing compliance obligations including financial reporting, audit requirements, and specific rules for the treatment of customer assets to protect investors and maintain market stability.
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