disputes incidental to or resulted from the derivatives business. Such written agreement shall be made at the first opportunity possible but shall not exceed one year as from the date this Notification
the written agreement made with the customer. Such agreement shall, at least, specify the types of investable assets and investment restrictions. Clause 9. The business operator shall, except otherwise
3 The derivatives dealer shall enter into an agreement with the client in writing at the time agreed upon to provide services to the client to arrange for a dispute resolution by an arbitration
’ ability in part of investment, debt repayment and pledging collateral, as well as clients’ ability to perform in respect of any servicing agreement shall be revised and updated at least every year. (2) in
contains at least the following matters: 1. roles and responsibilities of the cloud provider and the liabilities to the intermediary in the case that the cloud provider fails to comply with the agreement; 2
plan for the case where the delegatees cannot perform their duties. 4. There should be a written agreement whereby specifying at least the following conditions. 4.1 Restriction on or conditions for sub
client at the time of making [servicing] contract or agreement: (1) derivatives agents; (2) derivatives dealers, unless the clients are institutional investors under Section 3 of the Derivatives Act B.E
with the regulations or conditions related to participation in a regulatory sandbox . Clause 3 The agreement for establishing a securities trading center under Clause 2(2) shall contain at least the
) Consolidated The Company only ( 20..) ( 20..) (20..) (20..) 1. Cash and cash equivalents 2. Long-term deposits at financial institutions 3. Securities purchased under reverse repurchase agreement 4. Investments
) measures on the use of cloud computing under the policy established in Clause 8(1) which covers: (a) an agreement between the cloud provider and the intermediary which contains at least the following matter