guideline for risk disclosure document specified by the Association of Securities Companies with approval of the SEC Office; (2) notifying customer of detailed procedures for submission of trading order
management company and a mutual fund under its management may be executed only when necessary and appropriate, and upon written approval of the mutual fund supervisor prior to entering into such transaction
approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index, securities index or any other variables as specified in the notification of the SEC with the
derivatives business in such foreign country, whose rules for approval and supervision of derivatives business undertaking are not less strict than those prescribed under the Derivatives Act B.E. 2546 (2003
such foreign country, whose rules for approval and supervision of derivatives business undertaking are not less strict than those prescribed under the Derivatives Act B.E. 2546 (2003) including any
or open on holidays only after obtain an approval from the Office. Clause 5. Any securities company wishing to extend its opening hour or open on holidays according to Clause 4 (2) shall submit an
Commission No. KorThor/Nor/Khor. 14/2551 Re: Approval for Undertaking of Derivatives Business By virtue of Section 9 and the third paragraph of Section 16 of the Derivatives Act B.E. 2546 (2003) which contains