in the category of derivatives dealer under the law of such foreign country; provided that this is limited to the case derivatives dealer registration. Clause 3 . An applicant for derivatives business
into force from 16 November 2018. Clause 2 The following Notifications shall be repealed: (1) Notification of the Capital Market Supervisory Board No. Tor Thor. 25/2556 Re: Outsourcing Operational
in the category of derivatives dealer under the law of such foreign country; this is limited to only apply for derivatives dealer registration; (4)1 financial institution established under specific law
management, operational management and internal control system which at least shall contain: (a) the policy and measure in writing; (b) the determination and amendment of such policy and measure each time has
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number Country of issue of Passport CPA license number Issued by Country Home address City State Postcode Country
licensed to undertake the derivatives business by a regulatory agency on derivatives in a foreign country which is a member of the International Organization of Securities Commissions (IOSCO); (5) “ investor
dishonesty; (3) During the course of three years preceding the year when the application is filed up until the date of registration as a qualified fund supervisor, not have operational records indicating the
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
companies If the Company has subsidiaries or associated companies, the following information shall be disclosed: (1) Policy on operational organization within the group of companies; (2) Shareholding diagram