, departmental director or any equivalent position called otherwise, and shall include a person having entered into an agreement for full or partial power of management. “ general investor ” means an investor who

Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who

following qualifications intends to participate in a regulatory sandbox , the person shall submit an application for approval to the SEC Office together with accurate and complete evidentiary documentation in

person having the following qualifications intends to participate in a regulatory sandbox , the person shall submit an application for approval to the SEC Office together with accurate and complete

. 2. Scope of Agreement under HK-TH MRF MoU HK-TH MRF MoU specifies the scope of agreement between SFC and SEC concerning mutual recognition of laws and regulations and the scope of cooperation to

arrange a contract or an agreement in written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the

otherwise, and shall include a person having entered into an agreement for full or partial power of management. Clause 2 The operation under a regulatory sandbox of a person who is approved by the SEC Office

on derivatives trading. Clause 2 A derivatives broker shall provide a written contract or an agreement on custody of assets of clients which indicates the right, duty, and responsibility of both

: Clause 1 This Notification shall come into force as from 1 January 2015, except the following clauses: (1) Clause 12(4), which relates to arrangement of agreement between clients and derivatives advisors

maintain such evidence complete and up-to-date for at least five years from the transaction date and the maintenance of such evidence during the first two years shall be in such a manner that can be promptly