emergency matters whereby procedures and responsible persons should be clearly prescribed; (3) Having staffs with approvals from the Office to contact, solicit or advise clients on derivatives trading, and to

informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance

the manipulation or distribution of, assets derived from such acts. (2) regulations specifying the composition of an association related to securities business, whereby a body of persons of at least

each departments and staffs as well as having measures for emergency cases whereby procedures and responsible persons should be clearly prescribed. Clause 4 . Derivatives broker who wishes to use back

Clause 2 have details as provided in appendix at the end of this Notification of Practice Guidelines, whereby such details are as the following matters: (1) Division 1 Objectives of practice guidelines for

securities business shall be paid in advance before the first day of each calendar year except for the first year of obtaining the license whereby the license fee shall be paid upon receipt of the license at

whereby holding oneself out as providing derivatives advisory services on behalf of persons who undertake derivatives business in the category of derivatives advisory services under the law of such foreign

Exchange or the securities trading center with the approval of the Office, as the case may be; (2) short sale of securities which are debt instruments, whereby the Office also has the power to issue

person to be the manager of the fund and the assets generated from the fund; (3) having an investment policy whereby investment in a business is made through entering into an agreement for investment in

the Shariah Principle whereby the counter party comparable to the deposit accepter is the Islamic Bank of Thailand or a financial institution under foreign law and the counter party comparable to the