Derivatives Exchange, as detailed in Chapter 2; (2) Business Continuity Management and Security of Information Technology Systems, as detailed in Chapter 3; (3) Retention of Information and Documents, as
company under Financial Institutions Businesses Act; (2) a securities company licensed to be a securities business operator in the category of securities broker, or securities dealer which is not limited to
Qualifications of Applicant _____________ Clause 4 An applicant for the registration as a derivatives business operator must be a juristic person as follows: (1) a commercial bank or a financial company under
Derivatives Act (No.2) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. In this Notification: “derivatives broker” means any company licensed to undertake derivatives business in the category
application and supplementary documents. Clause 9. In case the derivatives broker is a securities company which has obtained an approval from the Office to make a derivatives trading for their own account
as from the date on which the Office receives the complete application and supplementary documents. Clause 9. In case the derivatives broker is a securities company which has obtained an approval from
shareholders’ equity of the securities company; (b) financing lease which is under the condition allowing for early termination of lease by the securities company as the lessee without purchasing the asset
Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56-1 One Report) contains minimum information required to be disclosed by the issuing company (“Company