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) “investor contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for investors, and are divided into two categories: Category A Investor
the operation and various risks pursuant to Paragraph 1. Clause 23 Each derivatives clearing house shall establish a plan for recovery or an orderly wind-down, with approval of its board of directors
วันที่ 15 ตุลาคม 2545 1 NO. (SUTHA-SET) 009/2019/EN 15 May 2019 Subject: Notification of the Board of Directors resolution regarding the approval of interim dividend payment and schedule for the
Clause 7. Clause 3. The derivatives brokers shall establish branch office only after obtain an approval from the Office according to rules prescribed herein. Chapter 1 Full-service Branch Office and Online
services to the transaction set forth in Clause 7. Clause 3. The derivatives brokers shall establish branch office only after obtain an approval from the Office according to rules prescribed herein. Chapter
plan for recovery or an orderly wind-down, with approval of its board of directors, which contains details at least in the following matters: (1) events and circumstances in which a securities clearing
(1992); “Commercial Bank” means commercial bank under the law on commercial bank business. Chapter 1 Criteria for Approval to Use Derivatives Investor Contact Service Clause 3 . Derivatives broker shall
bank under the law on commercial bank business. (Translation) -2- Chapter 1 Criteria for Approval to Use Derivatives Investor Contact Service Clause 3. Derivatives broker shall use derivatives investor