derivatives trading. Clause 2 A derivatives broker shall provide a written contract or an agreement on custody of assets of clients which indicates the right, duty, and responsibility of both parties and

derivatives trading. Clause 2 A derivatives broker shall provide a written contract or an agreement on custody of assets of clients which indicates the right, duty, and responsibility of both parties and

to their shareholding proportion, in which the exercise of warrants may be done by a person who is not a shareholder of a listed company or a public limited company which is obliged to the duty under

within five business days as from the date on which the SEC Office receives the application, supplementary documents and letter of certification which are complete and accurate. In cases where the SEC

Part 2, the approved foreign entity also has the duty to comply with the Notification of the Capital Market Supervisory Board concerning Selling of Newly Issued Debt Securities and Derivatives Warrants

shall procure an information management system to ensure that the information relating to the undertaking of the derivatives business, in the form of both paper and electronic data, is accurate, complete

form of both paper and electronic data, is accurate, complete, and available for use in an efficient manner within an appropriate time, as well as a security system which is sufficient to prevent the

form of both paper and electronic data, is accurate, complete, and available for use in an efficient manner within an appropriate time, as well as a security system which is sufficient to prevent the

bonds to the general public pursuant to Part 2, the Thai government agencies that have received the approval shall have the duty to also comply with the Notification of the Capital Market Supervisory

, the person shall submit an application for approval to the SEC Office together with accurate and complete evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering