equipped with knowledge and capability in trading futures contracts and protecting their own interest.
pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control
________________________________________________________________________ ________________________________________________________________________ 7) Is the foreign ETF currently traded on any exchange that is a member of World Federation of Exchanges (“WFE”)? Yes No If
financial stability with capability and readiness to provide service and comply with rules prescribed by the SEC or of the Office and guidelines specified by derivatives broker. Such guideline shall at least
service providers, such service providers shall have financial stability with capability and readiness to provide service and comply with rules specified by the SEC or the Office and code of conduct
following matters: (1) the selection and supervision of the personnel involved in the operation of the fund to ensure that they have suitable knowledge and capability for the administration and management of
the application for approval within forty‑five days from the date of receiving the application together with correct and complete document evidences. Clause 3. In the capacity of an investment advisory
ให้ นำบทบัญญัติในหมวด 3 ว่าด้วยการเสนอขายหลักทรัพย์ต่อประชาชนมาใช้บังคับ (1) มีการซื้อขายในตลาดหลักทรัพย์หลักที่เป็นสมาชิกของ World Federation of Exchanges (WFE) และ (2) เป็นหน่วยของอีทีเอฟต่างประเทศที่
capital market products ; (4) considering ability of the client to perform in respect of servicing agreement. In case of provident fund as the client , the intermediary only assesses suitability as
an ongoing financial problem; (b) capability and readiness for operational function which shall be specified in such a way that it is possible for screening and selecting a service provider who has