“ derivatives broker ” means a person licensed to undertake derivative business in the category of derivatives brokerage, excluding a commercial bank under the law on financial institution business; (2) “ net
“derivatives broker” means a person licensed to undertake derivative business in the category of derivatives brokerage, excluding a commercial bank under the law on financial institution business; (2) “net
Section 49 of the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: (1)3 “derivatives broker” means a person
33.75 million (hereinafter referred to as the “Transaction”).UWM is a juristic person registered in Thailand with registered capital of Baht 450.00 million with issued and paid-up capital of Baht 112.50
responsible person who has duty to undertake and be liable for arranging and keeping information, document or evidentiary documentation in accordance with the rules as prescribed in sub clause (1) and (2); (4
Market Supervisory Board concerning Outsourcing Some Operations in Securities or Derivatives Business to Others. 8 govern them to be approved person according to such requirement and control them to
) dealing in securities as specified in (3); (3) underwriting of securities as specified in (3). “applicant” means person applying for securities business license under this Ministerial Regulation
member, or employee or a person holding any other equivalent position, including a person participating in the management of a member; (3) is a shareholder with the controlling power of the derivatives
clearly through any media or object and ensure that they are at least as prominent as the majority information in such advertisement. For example, the texts must be clear, legible or audible. The provision