Thailand; (m) international financial institutions; (n) juristic persons established under specific laws; (o) government agencies or state enterprises under the law on budget procedures ; (p) Financial
secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the
first paragraph is a commercial bank under the law on financial institution business, a life insurance company under the law on life insurance, or a financial institution established under a specific law
shall deposit such assets and deposit money to secure payments of related costs at the deposit office according to the law, regulation, and rule on property deposit. The liquidator shall also submit
) a finance company; (c) a securities company; (d) a securities depository center ; (e) a financial institution established under specific law. (2) a contract on an appointment of an agent to undertake
institutions established by the specific law. (2) a written contract upon the appointment of an agent for the custody of client’s assets shall be arranged. Such contract must contain a prohibition on appointment
derivatives broker. “Derivative exchange” means any derivative exchange licensed by the Securities and Exchange Commission. “Initial margin” means the minimum amount of asset a customer must deposit to secure
customer to secure the performance of derivatives contract when a derivative position is initiated; (4) “ maintenance margin ” means the minimum amount of assets to be maintained by a customer as long as the
securities company should arrange an information security system according to the following guidelines: (1) putting in place a secure and efficient system for safekeeping information, evidentiary documentation
Commission No. Kor Thor. 4/2557 Re: Ongoing Capital Adequacy of Some Specific Intermediaries dated 5 June 2014; (2) Notification of the Securities and Exchange Commission No. Kor Thor. 12/2560 Re: Ongoing