Commission No. SorThor. 19/2552 Re: Report on Trading of Securities and Derivatives in Foreign Countries of Derivatives Broker _____________ By virtue of Section 14 and Section 19 of the Derivatives Act B.E
Agricultural Futures Trading Act B.E. 2542 (1999) to obtain the license, such licensed operator shall have the paid-up registered capital of no less than the following amounts: (1) twenty-five million baht from
licensee shall pay to the SEC Office a fee according to the obtained license at a rate varies based on business volume or at the fixed rates set out in this Notification. In the case where a licensee has
Section 147 Securities and Exchange Act B.E. 2535 Section 147. During any two year period, if any securities company does not undertake securities business of the type so licensed in the volume as
, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully exploitable management, nor having such offense record during the period as specified by the SEC
) Certificate of company registration; □ (2) The copy of memorandum of association of the company which certified by the company-partnership registrar of the Ministry of Commerce; □ (3) The copy of article of
fee according to the obtained license at a fixed rate or a rate based on business volume, as the case may be, as specified in this Notification. The licensee shall pay only the fee for the license that
) a person who had been licensed to undertake the derivatives business in the category of Futures broker under the Agricultural Futures Trading Act B.E. 2542 (1991) as of the date when the Cabinet
.... Risk Disclosure Statement for Futures and Options Trading in Derivatives Exchange Date……………………………… We,……………[company name]………….…,who are a derivatives agent, hereby certify that Mr/Miss/Mrs
temporarily suspending services as derivatives agent, closing a trading account, limiting positions or trading volume, closing out the positions or performing any other act relating to derivatives trading of