trading by minimum disclosure of the following information: (1) information relating to the financial status, credibility and scope of the derivatives dealer ’s business; (2) detailed information pertaining
In this Notification: "derivatives dealer" means a person holding a license to undertake a derivatives business in the category of derivatives dealer; "institutional investor" means an institutional
. KorThor. 12/2553 Re: Determination of Undertaking not Deemed as a Derivatives Dealer By virtue of Section 3 and Section 9 of the Derivatives Act B.E. 2546 (2003) which contains certain provisions relating
person in the same business sector as the intermediary shall be in accordance with the rules under Paragraph 1, mutatis mutandis . Chapter 1 General Provisions _____________ Clause 4 An intermediary which
the same business sector as the intermediary shall be in accordance with the rules under Paragraph 1, mutatis mutandis. 2 Chapter 1 General Provisions _____________ Clause 4 An intermediary which
intermediary ’s account, as the case may be, according to the client’s expressed intention. In case of failure to return or transfer, the derivative position shall be closed and the remaining assets (if any
: “intermediary” means a securities company or a derivatives intermediary; “fund management company” means a securities company licensed to undertake securities business in the category of mutual fund or private
Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9