; “derivatives broker” means any person who obtains the derivatives business license in the category of derivatives brokerage under the Derivatives Act B.E. 2546 (2003). Clause 3 Maintenance of the net capital by
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Notification of the Office of the Securities and Exchange Commission regarding Rules for Appointment of Independent Director of Intermediary 13/08/2015 16/09/2015 Notification of the Office of the Securities
Office of the Securities and Exchange Commission regarding Rules for Appointment of Independent Director of Intermediary 13/08/2015 16/09/2015 Notification of the Office of the Securities and Exchange
mobile devices are the property of the employees, the intermediary should consider adopting the guidelines in Items (1) - (5) at a minimum, and establish control measures that are comparable to or as a
itself; (3) bearing a responsibility for clearing and https://publish.sec.or.th/nrs/4390pe.doc 6121pe.doc to receive assets proven by evidence to be the client’s assets under possession of an intermediary