Consideration of the application for opening of the derivatives trading account shall be prepared in written with steps and procedures sufficient to ensure that the customer is the same person as the one
management scheme in compliance with the steps and procedures within the specified period and has attached all supporting documents as specified in the notification of the Office. In the consideration and
of derivatives broker; “derivatives contract” means a derivatives contract under Section 3 of the Derivatives Act B.E. 2546 (2003) having securities, gold, crude oil, currencies, exchange rate
guidelines for the custody of the client’s assets in accordance with the provisions of this notification. Such rules and guidelines must be made in writing, elaborating procedural steps of authorized person
-based. If a long-term leasing contract is made, provide a fact sheet of such contract (only regarding the remaining leasing period and the obligations of the Company under such contract (if any). Any
executive of a securities company possesses any prohibited characteristic, the Office shall proceed in accordance with the rules and procedures specified in the Notification of the Securities and Exchange
Clause 9 and take steps in the matter shown under (a), (b), (c) and (d) of (1) at all time during which it undertakes derivatives business; (4) The licensee of derivatives business license type Sor-1 which
” means any person who is designated by the derivatives fund manager to be an agent to solicit investors, together with proposed investment plans, to enter into a contract with the derivatives fund manager
approval of the Cabinet. “derivatives” means a contract having one or any combination of the following characteristics: (1) a contract in which one party is obliged to deliver goods as specified in the
business operation in the category of derivatives broker; “futures” means a contract trading on the derivatives exchange with any one or more of the following characteristics: (1) a contract in which a party