regulations: Clause 1. In this Notification: (1) “Gold derivatives brokerage business” means derivatives business in the category of derivatives broker limited to gold derivatives. (2) “Gold business operator
in order to oversee a juristic person or business over which one has the management power or operates under one’s supervision. The acts of the three persons stated above constitutes a failure to
indicating that {A} sent trading orders and afterwards informed his client's authorized person. Such authorized person did not reject the transactions. From the record, in addition, {A} specified details of
securities company , the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities company . Clause 5 The provisions in Clause 19
__________________ By virtue of Section 9 and 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
paragraph, such person shall submit the request form as prescribed in the Office’s electronic work system as well as pay the related fee as per the notification of the Office of the Securities and Exchange
application referred in the second paragraph, such person shall submit the request form as prescribed in the Office’s electronic work system as well as pay the related fee as per the notification of the Office
Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments (No. 2) dated 25 March 2009. Clause 3 In this Notification, unless otherwise specified: (1) “executive” shall have the same
) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. In this Notification: (1) the term “company,” “parent company,” “subsidiary company,” “major shareholder,” and “controlling person