pledging and debt repayment capability of the customer in the first paragraph, derivatives broker shall be prepared prudently and carefully by examine the financial condition, source of income and property
Office of the Securities and Exchange Commission No. KorThor. 65/2547 Re: Rules for the Undertaking of Derivatives Business for Licensed Derivatives Broker dated 22 December 2004, the Office of the
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 3. In this Act: “goods” means securities, gold, crude oil, or any other property as specified in the notification of the SEC with the
” means any mutual fund established under following Notifications: (1) Notification of the Securities and Exchange Commission on Rules, Conditions and Procedures on Establishment and Management of Property
Establishment and Management of Property Fund to Solve the Problem in Financial Institution System; (2) Notification of the Securities and Exchange Commission on Rules, Conditions and Procedures on Establishment
maturity; (4) investment in the units of a property fund or an infrastructure fund may be made; (5) investment in the units of a mutual fund for which the intermediary has obtained a permission from the SEC
, exchange traded fund (ETF), property funds, structured notes and other debt securities; (c) Relevant knowledge on accounting, finance and tax such as accounting standards; (d) Knowledge on assessment or
traded fund (ETF), property funds, structured notes and other debt securities; (c) Relevant knowledge on accounting, finance and tax such as accounting standards; (d) Knowledge on assessment or analysis of