prohibited characteristics of executives of derivatives business operator; (5) Being able to show that any individual being its major shareholder does not have any prohibited characteristics pursuant to the

Commission No. KorThor. 7/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer By virtue of Section 6, Section 9 and the third paragraph of

November 2008. Clause 2 The following notifications shall be repealed: (1) The Notification of the Securities and Exchange Commission No. KorNor. 8/2547 Re: Licensing Derivatives Business Operator in the

. Notification of the Securities and Exchange Commission No. Kor Thor. 11/2553 Re: Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer _____________ By virtue

research results that show the possibility of providing innovative financial services, including the research results on potential risks from the experiment; (6) having no record of violating or failing to

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 28. A derivatives business operator shall prepare and submit financial statements to the SEC Office. Such financial statement shall be made

: Clause 1 In this Notification: “ derivatives business operator ” means a person obtaining the derivatives business license in the category of derivatives broker or derivatives fund manager, but not

Commission No. KorNor. 8/2547 Re: Licensing Derivatives Business Operator in the Category of Derivatives Fund Manager dated 23 January 2004; (2) Notification of the Securities and Exchange Commission No

the notification to extend the applicability of the provisions of this Division to any other categories of derivatives business operator.

Securities and Exchange Commission No. Sor Thor. 17/2551 Re. Report Preparation and Submission of Licensed Derivatives Brokers (No. 3) dated 4 June 2008. Clause 2 In this Notification: “ business operator