. 4 Notification of the Office of the Securities and Exchange Commission No. SorThor. 3/2553 Re: Preparation and Maintenance of Information Relating to Derivatives Trading _____________ By virtue of
. Notification of the Office of the Securities and Exchange Commission No. SorThor. 3/2553 Re: Preparation and Maintenance of Information Relating to Derivatives Trading _____________ By virtue of Clause 12
processes and fee _____________ Clause 7 An applicant for the registration as a derivatives business operator shall submit an application form to the SEC Office together with the supplementing documents and
Derivatives Broker and Derivatives Dealer (No.2) dated 29 June 2012. Clause 7 An applicant for the registration as a derivatives business operator shall submit an application form to the SEC Office together
). Chapter 2 Application Procedure and Fees __________________ Clause 6 An applicant shall file an application with the SEC Office, together with the evidentiary documentation via the form and method provided
-up capital as prescribed under Clause 10(4). Chapter 2 Application Procedure and Fees __________________ Clause 6 An applicant shall file an application with the SEC Office, together with the
the business of the other party but not in the manner under (1), the party that manages fund shall submit documentary evidence to the Office to demonstrate that: (a) One party has the power to control