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 appearing in the documents and evidence used for opening
Trading Services with respect to Derivatives __________________ Clause 26 To ensure that steps or procedures concerning computer systems relating to trading services with respect to derivatives are
apply for approval for the mutual fund management scheme in compliance with the steps and procedures within the specified period and has attached all supporting documents as specified in the notification
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
undertake derivatives business in the category of derivatives broker; “derivatives contract” means a derivatives contract under Section 3 of the Derivatives Act B.E. 2546 (2003) having securities, gold, crude
respect to Derivatives __________________ Clause 37 To ensure that steps or procedures concerning computer systems relating to derivatives clearing and settlement services are effective, each derivatives
, Conditions and Procedures for Providing Services as Securities Registrar By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No.4) B.E
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