Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
constituting conflicts of interest, especially the actions as prescribed in Clause 16 unless it is an action allowed by [other clauses of] this Notification; 2. receiving a gift or other benefits from the client
provider should not be allowed to access and disclose the intermediary’s information without consent, unless the intermediary is informed and gives a consent to do so, or such access and disclosure are made
notification is due to the fact that at present securities companies are allowed to make offshore investment which contains higher risks than domestic investment in such areas as foreign exchange rate risk
following issues: 1. prohibited action possibly constituting conflicts of interest, especially the actions as prescribed in Clause 16 unless it is an action allowed by [other clauses of] this Notification; 2
calculating net asset value of fund or securities-clearing (back-office function) including the segregation of reporting line of the personal in the segregated units and there should be a person responsible for
Transactions in Capital Market B.E. 2550 (2007) . I hereby attach the following evidentiary documentation in support of my application: (1) Certification of the applicant; (2) Personal record and details of the
an approval from the Office. Clause 6. The derivatives broker with the following qualifications are allowed to trade derivatives contract according to Clause 5: (1) having sufficient personnel
under (1); (3) in announcing the net asset value and the value of investment unit, together with the selling price and the redemption price of open-end mutual fund, the management company shall be allowed