individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
following manners: (a) a spouse or a minor child of such person; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding shares of such person
; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding shares of such person in the number of exceeding fifty percent of the total
is to determine the maximum amount of damages claimed in order to ensure that the arbitration serves as an alternative dispute resolution for individual investors in accordance with the purpose of the
services suitable to each client carefully, especially with special care to the following clients: (1) any individual who is sixty years old or older; and (2) any person who has little financial knowledge
within the full period of 3 years preceding the year of application filing toward the date of application filing; □ (2.4) In the case where the shareholder is an individual person: Violation record under
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
capital market products, or capital market products traded on the Stock Exchange of Thailand or derivatives exchange, the intermediary may reduce details in methods and procedures of the communication and
warrants on individual stock หมายถึง ออปชัน / ใบสำคัญแสดงสิทธิอนุพันธ์ ที่มีมูลค่าผูกกับหุ้นใดหุ้นหนึ่ง 1.3.1.2 basket options / basket warrants หมายถึง ออปชัน / ใบสำคัญแสดงสิทธิอนุพันธ์ ที่มีมูลค่าผูกกับ
หรือขายสินทรัพย์อ้างอิงที่เป็นหรือ ผูกกับตราสารทุน กลุ่มตราสารทุน หรือดัชนีตราสารทุน ทั้งนี้ ให้รายงานตามประเภทของสินทรัพย์อ้างอิง ดังนี้ 1.3.1.1 stock options / derivative warrants on individual stock