the Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider
(Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to put in place a sufficient and effective systems of operation, control and risk management of derivatives broker which violated section 113 of
. Kor Thor 13/2549 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker (No. 2) dated 02/05/2006 which Clause 8 will be effective from 1 January 2007 7 As amended by the SEC
broker does not possess mentioned information or documentation above within three years from the date this notification become effective. As added by the SEC Office Notification No. Kor Thor 13/2549 Re
. Kor Thor 13/2549 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker (No. 2) dated 02/05/2006 which Clause 8 will be effective from 1 January 2007 7 As amended by the SEC
, prior to the effective date of this Notification, the derivatives broker has existing subordinated liabilities, which are not included in the calculation of the total liabilities under Clause 2, in the
to the effective date of this Notification, the derivatives broker has existing subordinated liabilities, which are not included in the calculation of the total liabilities under Clause 2, in the
to the effective date of this Notification, the derivatives broker has existing subordinated liabilities, which are not included in the calculation of the total liabilities under Clause 2, in the
position for their proprietary account before the effective date of this Notification, such derivatives broker shall: (1) In case of investing in securities, the derivatives broker shall act in accordance
KTB Securities (Thailand) Public Company Limited Between December 16, 2016 and January 31, 2019 KTB Securities (Thailand) Public Company Limited as a securities broker engaged in act which may cause