able to show that any individual being its director, manager or person with power of management who is in charge of derivatives business of the applicant meets the requirements and does not have any

Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and

specified in the notification of the SEC. In this regard, the SEC may also specify fees or service charges which the securities company may charge its customers for the performing underwriting service.

specified in the notification of the SEC. In this regard, the SEC may also specify fees of service charges which the securities company may charge its customers for performing investment advisory service.

business value chain 3.2.1 Business value chain Describe the characteristics of the business value chain that show the relationship of the key stakeholders with the activities related to business operation

) shall together select another arbitrator to be the chairman of the arbitrator panel. If the respondent refuses to have three arbitrators or the respondent does not show his intention whether or not to

details for implementation by the personnel or person assigned to operate the securities company; (2) Information, including the roles and responsibilities, of the personnel in charge of operations in the

details for implementation by the personnel or person assigned to operate the business; (2) Information, including the roles and responsibilities, of the personnel in charge of operations in the event of

under a specific law; (2) being able to show that a work unit responsible for providing services as securities registrar will be established separately from other work units; (3) being able to show that

position; (6) Fees charged on the derivatives transaction. Clause 4. Derivatives broker must show in the evidence of margin call at least the information as set out under Clause 3(1) and (3) as well as the