Notification: “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; “market maker” means any person registered as market maker with derivatives
this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; (2) “market maker of gold derivatives” means any person
the following regulations: Clause 1 In this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; (2) “market maker of
documents under the KYC/CDD process, or produces doubtful evidence or documents which can clearly be identified that they are forged; (12) it is found under the KYC/CDD process that the client is involved
cooperate in producing identification or other documents under the KYC/CDD process, or produces doubtful evidence or documents which can clearly be identified that they are forged; (12) it is found under the
to 227.9 mil. baht. - Total expenses increased 9% or 20.1 mil. baht to 244.4 mil. baht due to the following: 1) The Company had just detected a fraudulent practice of our credit supervisor and need to
Translation) (6) Having corrective measures when an error is found and preventative measures to prevent the reoccurrence of such error. 3.3 Back Office Supporting System 3.3.1 Establishment of Funds and
correction to any record, the securities company shall complete such correction within the same working day when the cause of correction is found and shall record the cause of each correction. Clause 14 A
C: Market Maker (MM) of Foreign ETF in Thailand 17) Name of Market Maker: _______________________________________________________________________ Address of registered office