obligations, but not in Clause 2(3); (3) twenty-five million baht for undertaking the following businesses without price settlement and contract delivery obligations: (a) Undertaking derivatives business with
ประเด็นที่ต้องพิจารณาว่าการทำธุรกรรมดังกล่าวยังมีความจำเป็นต้องคำนวณค่าความเสี่ยงกรณี settlement risk หรือไม่ สำนักงานพิจารณาแล้วขอเรียน ดังนี้ 1. การซื้อขายตราสารหนี้ภาครัฐที่มีการชำระราคาและส่งมอบแบบ DVP
providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the
established by a specific law with an objective to undertake businesses; “Association” means any association relating to securities businesses which has been approved by and registered with the Office and whose
Settlement (BIS). (2) an audit firm, whose auditors are recognized by the SEC Office to be an auditor in the capital market under the Notification of the Office of the Securities and Exchange Commission
specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.
Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Businesses For Which an Approval Is Required. (2) having a procedure for providing
holding securities for investment by the securities company itself; (3) Bearing a responsibility for the clearing and settlement for securities. (As amended by Section 5 of the Securities and Exchange Act
. ---------------------- The Securities and Exchange Commission Notification of the Securities and Exchange Commission No. KorThor/Nor/Yor. 47/2546 Re: Determination of Fees for the Operation of Licensed Businesses
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of