in the category of inter-dealer brokerage; (3) a securities company in the category venture capital management; (4) a derivatives intermediary in the category of derivatives advisory; (5) a person
in the category of inter-dealer brokerage; (3) a securities company in the category venture capital management; (4) a derivatives intermediary in the category of derivatives advisory; (5) a person
” means any person licensed to undertake derivatives business in the category of derivatives broker. (2) “client’s assets” means (a) assets which derivatives broker received or held as collateral for
) of the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this notification hereto: (1) “derivatives broker” means any person
Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this notification hereto: (1) “derivatives broker” means any person licensed to
Attorney form in case of authorizing another person to file complaint; 3. Details of the person against whom the complaint is filed, i.e., full name, mailing address, phone number of intermediary / listed
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
Securities and Exchange Commission hereby issues the following regulations: Clause 1 . In this notification: “Derivatives fund manager” means any person licensed or registers to undertake derivatives business