. Notification of the Securities and Exchange Commission  Kor Khor. 8/2554 Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals Derivatives
within the scope of the regulator’s statutory authority, while considering all relevant factors. 3 Statement of Intent (2017) 4. Strategic priorities To achieve the legislative intent, the SEC’s vision
. KorThor. 12/2553 Re: Determination of Undertaking not Deemed as a Derivatives Dealer By virtue of Section 3 and Section 9 of the Derivatives Act B.E. 2546 (2003) which contains certain provisions relating
of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records on offences relating to unfair derivatives trading
of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records on offences relating to unfair derivatives trading
increasing shall be calculated in the shareholder’s equity of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records
. Clause 4 In undertaking custody of assets of clients , a derivatives broker shall put in place systems as well as rules or procedures for custody of assets of clients to ensure that the client assets under
Licensed Derivatives Brokers (No. 3) dated 28 February 2012. 2 Clause 3 A derivatives broker shall not appoint any person as its agent to undertake custody of assets of clients. Clause 4 In undertaking
Licensed Derivatives Brokers (No. 3) dated 28 February 2012. 2 Clause 3 A derivatives broker shall not appoint any person as its agent to undertake custody of assets of clients. Clause 4 In undertaking
(Unofficial Translation) 1 Licensing Manual: Application for Approval of Capital Market Auditor Authority: the Office of the Securities and Exchange Commission (public agency) Rules, procedures and