show the possibility of providing innovative financial services, including the research results on potential risks from the experiment; (6) having no record of violating or failing to comply with the
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 28. A derivatives business operator shall prepare and submit financial statements to the SEC Office. Such financial statement shall be made
: Clause 1 In this Notification: “ derivatives business operator ” means a person obtaining the derivatives business license in the category of derivatives broker or derivatives fund manager, but not
this Notification: “derivatives business operator” means a person obtaining the derivatives business license in the category of derivatives broker or derivatives fund manager, but not including
Commission No. KorNor. 8/2547 Re: Licensing Derivatives Business Operator in the Category of Derivatives Fund Manager dated 23 January 2004; (2) Notification of the Securities and Exchange Commission No
. KorNor. 8/2547 Re: Licensing Derivatives Business Operator in the Category of Derivatives Fund Manager dated 23 January 2004; (2) Notification of the Securities and Exchange Commission No. KorThor. 56/2547
the notification to extend the applicability of the provisions of this Division to any other categories of derivatives business operator.