/Form (Notification of Securities and Exchange Commission) Certified Form Relating to Acting in Compliance with Related Laws of Applicant who is Juristic Person/Financial Institution or Individual
undertaking derivatives business and such person has qualified and not possessed any prohibited characteristics as stipulated by the Notification concerning personnel . Clause 4 In case an intermediary has
derivatives business and such person has qualified and not possessed any prohibited characteristics as stipulated by the Notification concerning personnel. Clause 4 In case an intermediary has appointed the
Juristic Person Report/Form (Notification of Securities and Exchange Commission) Guidelines for Filling in an Application for an Approval on Establishment of a New Limited Company or Public Limited Company
Notification: “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; “market maker” means any person registered as market maker with derivatives
____________________________________________________________________ Remark: The rationale for issuing this Notification is to determine an undertaking not deemed as a derivatives dealer to cover offer to trade or trade in derivatives for his own account with person
Exchange Act B.E. 2535 (1992), the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: “trust” means an infrastructure trust established
be repealed. Clause 2. In this Notification: “Derivatives agent” means any person licensed to undertake derivatives business in the category of derivatives agent. “Derivative exchange” means any
Property Deposited as Margins dated 8 May 2006 shall be repealed. Clause 2. In this Notification: “Derivatives agent” means any person licensed to undertake derivatives business in the category of