business applying for establishment; (2) a photocopy of the license of the existing trade association; (3) the regulations of the existing trade association certified by the Registrar of Trade Associations
person acquires additional units, the total value of the units held when combined with the existing units shall be no less than ten million baht. The calculation for the total value of the units held in
million baht from the date of the shareholding structure in which one or several existing shareholders hold combined shares less than twenty-five percent of the company’s shares eligible for voting rights
business and provides services for a client with loyalty, expertise and proficiency, including due diligence and care in the same manner as a professional would exercise in like circumstances; (2) operates
with loyalty, expertise and proficiency, including due diligence and care in the same manner as a professional would exercise in like circumstances; (2) operates its business by maintaining corporate
to make the management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of
, prior to the effective date of this Notification, the derivatives broker has existing subordinated liabilities, which are not included in the calculation of the total liabilities under Clause 2, in the
frequency in reviewing shall depend on the level of client’s risk; (2) review client’s existing records and gather further information, if it is found that or there is a circumstance where :- (a) there is a
any ground to believe that there is a deficiency or inappropriateness in control and proper operation of the business; (5) procure necessary resources and a sufficient number of personnel with expertise
repealed by this Notification shall be deemed to be registered as derivatives business operator under this Notification in the existing type of its registration and shall maintain the status of its juristic