structures indicate that it is acting as a business unit within a financial conglomerate as accepted by the Office. The procedures mentioned in the first paragraph should contain all necessary details to be
position; (6) Fees charged on the derivatives transaction. Clause 4. Derivatives broker must show in the evidence of margin call at least the information as set out under Clause 3(1) and (3) as well as the
, and shall also indicate the number of arbitrators for the arbitral proceeding at the same time of filing the dispute. Clause 9. After the officer assigned by the Office has examined the dispute filing
specified in the fund project provided that the management company is able to show that such redemption will not affect the fund’s viability; (2)* having the term, infrastructure fund, at the end of its name
custody of clients’ assets shall be made in writing. Such contract shall have a prohibition of an appointment of a sub-agent, and indicate terms and conditions relating to the responsibility of the agent
names, please also indicate their former names): 1) ………………………………. year of birth B.E. ……………... 2) ………………………………. year of birth B.E. ……………... 3) ………………………………. year of birth B.E. ……………... 2.8 Address appeared
may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than three years relating to gold; (4) Being
under a specific law; (2) being able to show that a work unit responsible for providing services as securities registrar will be established separately from other work units; (3) being able to show that
control and good practice; (3) being able to show that the capital market personnel performing duties in any of the following areas have the qualifications and do not have any prohibited characteristics
; (5) having the study or research results that show the possibility of providing innovative financial services; (6) having no record of violating or failing to comply with the regulations or conditions