law and later obtain a license to undertake derivatives business; “Full-service Branch Office” means a derivatives broker’s branch office in Thailand that provides services within the scope approved for

the service provider intends to assign another party to be a subcontractor at any level, the service provider shall obtain a written consent from the intermediary prior the assignment. Clause 22 In the

category of securities brokerage, securities dealing, investment advisory services, securities underwriting, but shall not include a financial institution under other law and later obtain a license to

investment management and shall obtain a prior consent from the client, who uses the service from the intermediary . Chapter 2 Outsourcing Operational Function to Service Providers ____________________ Clause

derivatives clearing house, the approved person for operation under a regulatory sandbox in the same manner as derivatives exchange shall notify such information to the service users and shall obtain consent

trading center shall notify such information to the service user and shall obtain consent from the service user. In this regard, the provision of (2) shall be applicable, mutatis mutandis. (c) having

of providing a self-service platform for customers through the use of communication equipments or computer while the office of securities company is closed , such securities company shall open 24 hours

Exchange Commission No. Sor Thor. 29/2540 Re. Forms for Balance Sheet and Income Statement of Securities Companies Which Obtain a Securities Business License to Undertake the Securities Business in the

Section 115 Securities and Exchange Act B.E. 2535 Section 115. In operating the business of investment advisory service, a securities company shall comply with the rules, conditions and procedures as

. Clause 4 An applicant may obtain precious metal derivatives brokerage license by possessing the following qualifications: (1) having paid-up registered capital not less than 100 million Baht; (2) not