limit its liability for damage to the client caused by breaching the rules under this Notification by the intermediary, or directors, executives or other personnel of the intermediary. 6 Chapter 3
economy. Meanwhile, the Bank of Japan signaled an additional accommodative monetary policy by pledging to purchase government bonds without limit and to step up its asset purchase program, whereas other
” means derivatives under law on derivatives and any other similar contracts; (4) “foreign derivatives exchange” means juristic person established under foreign law which is capable of providing derivatives
operator registration under Clause 2 (1) and (2) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the category under the relevant supervisory law ; (2
business operator registration under Clause 2 (1) and (2) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the category under the relevant supervisory
, top management, management and employees are appropriately defined and assigned. 4. The organization demonstrates its commitment to attract, develop and retain competent individuals in alignment with
abreast of the market situation, to be able to make decisions to trade capital market products on behalf of their clients, provided that consent from the clients must be obtained and such investments
machinery, aggregating THB 10,464,010,993, from the book value as at May 31, 2017, and the assignment of beneficiary’s rights under insurance policies, aggregating THB 11,855,168,000 (the mortgage limit is
of consideration for such unit shall not create conflicts of interest. Clause 10 Independent directors under Paragraph 1 of Clause 8 shall be able to perform their duties independently in an impartial