Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________
submit the application for discontinuation of the service provision together with the accurate and complete evidentiary documentation to the SEC through the SEC Office at least sixty days before
Exchange Commission No. Kor Thor. 21/2563 Re: Determination of Types of Operation of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision
a license under Clause 3 shall be submitted together with the following evidentiary documentation: (1)( details of the work system for preparing, procesing, storing and reporting provision of services
derivatives exchange [OTC derivatives], the derivatives broker shall provide such services to Institutional investors only, in which case the provision of Clause 17 and Clause 19 shall not apply. In providing
). Clause 9 A proprietary trading of derivatives by a securities intermediary shall be in accordance with the Notification of the Capital Market Supervisory Board concerning Derivative Trading and Provision
shareholder or a beneficial owner of more than ten percent of the total voting rights of the applicant. For the interest of the provision under Paragraph 1, a “ beneficial owner ” means the beneficial owner of
a member of the Thai Bond Market Association. The provision under Paragraph 1 shall not be applicable in the case where a securities company ceases to undertake securities business in the category of
connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9 In the case where an intermediary enters into a transaction for a client with the