registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
companies. “Office” means the Office of the Securities and Exchange Commission. Clause 2. This Notification shall not apply to financial institutions whose core business is under direct supervision of another
assigned to take direct responsibility for accounting supervision, the Company’s secretary and the representative for contact and coordination in case of a foreign company Attachment 2: Details of the
connection to the organization’s internal network systems; “ use of mobile device ” means the use of mobile devices in the operation to access the critical information system via direct connection to the
institutions holding securities business licenses, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that
which is in the same financial conglomerate, and provided that such supervisor is not a securities company or a derivatives broker which has been granted an exemption from the requirement of independent
audited financial statements for the most recent financial year; (b) having direct investment in securities or derivatives in the amount of not less than forty million baht, or not less than eighty million
Status Report This is in reference to the SEC Office’s email dated 28 June 2010, which informed securities companies and derivatives brokers (“intermediaries”) of the requirement for submission of the
company, clarify why such practice is employed instead of direct shareholding by the Company; (3) In case of several connected transactions, each with little value, grouping such transactions as seen
เป็นการกู้ยืมเงินโดยตรงให้ใช้คำว่า “direct loan” ส่วนการทำ ธุรกรรมการขายโดยมีสัญญาซื้อคืนให้ใช้คำว่า “repo” 5. มูลค่าธุรกรรม หมายถึง จำนวนเงินที่กู้ยืม หรือจำนวนเงินที่ได้จากการขายหลักทรัพย์ 6. ชื่อและ