client. Clause 12/167 In providing services as a derivatives dealer to a client who is a juristic person as prescribed in Clause 6(2), the derivatives dealer shall engage in a derivatives contract for
approval of the Cabinet. “derivatives” means a contract having one or any combination of the following characteristics: (1) a contract in which one party is obliged to deliver goods as specified in the
Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities
. KorThor. 12/2553 Re: Determination of Undertaking not Deemed as a Derivatives Dealer By virtue of Section 3 and Section 9 of the Derivatives Act B.E. 2546 (2003) which contains certain provisions relating
/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer By virtue of Section 6, Section 9 and the third paragraph of Section 16 of the
sales decreased by 18.1percent compared to the same period last year. This is because the new distributor is in the process of increasing the order rate to replace an existing dealer who has terminated
: “intermediary” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “affiliated
-dealer brokerage company, and registered derivatives intermediary; “intermediary’s board of directors” means the board of directors of an or a committee assigned by the board of directors of an