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
สิทธิ) ( Viewer (สอบถามสถานะรายการ และ download แบบรายงาน) ( Maker (สิทธิเทียบเท่า Viewer และสามารถสร้าง/แก้ไข/ลบแบบรายงานที่อยู่ระหว่างจัดทำได้ โดยให้มีผลตั้งแต่วันที่
handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings
___________________________________ As at (date) __________________________ Part C: Market Maker (MM) of Foreign ETF in Thailand 17) Name of Market Maker: _______________________________________________________________________ Address
investors having the same characteristics as persons under sub clause (a) to (q) mutatis mutandis . (3) “ market maker ” means any person registered as market maker with a derivatives exchange to provide
ข้างต้น ที่ลิงค์ https://market.sec.or.th/EXAM/EXAMRegister.aspx เรียบร้อยแล้ว โดยให้สิทธิ (เลือกได้เพียง 1 สิทธิ) ( Viewer (สอบถามสถานะรายการ และ download แบบรายงาน) ( Maker (สิทธิเทียบเท่า Viewer และ
services to clients with details covering the operation specified in Clause 5; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuing
communicating and providing services to clients with details covering the operation specified in Clause 4; (d) having a plan to report the results of the experiment and progress of service provision to the SEC
depositing or investing in certificate of deposit under Paragraph 1(1) of clause 7, the derivatives broker shall use rating of issuer of certificate of deposit, maker of promissory note, drawer of bill of
regulator. “ market maker ” means a person who is appointed to provide trading of ETF units for ensuring that their market price in the secondary market approximates the net asset value of such ETF units