decrease or constrain a client’s risk at the time of contracting, and only when the derivatives will not cause additional risks unless it is the counterparty’s risk arising from such derivatives itself. In
constrain a client’s risk at the time of contracting, and only when the derivatives will not cause additional risks unless it is the counterparty’s risk arising from such derivatives itself. In providing
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
or foreign, which constrain the applicant from complying with the rules or conditions to be waived; 7 (3) the applicant has provided other sufficient measures in lieu of its compliance with the rules
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 an...
conditions; (2) an applicant is subject to restrictions under other laws which constrain it from compliance with the rules or conditions to be waived; (3) the applicant has provided other sufficient measures
rules or conditions; (2) an applicant is subject to restrictions under other laws, whether under Thai or foreign law, which constrain it from compliance with the rules or conditions to be waived; (3) the