Exchange Commission No. SorThor/Nor. 19/2550 Re: Application Form for Approval of Agricultural Futures Trading Business by Operators of Derivatives Business _____________ By virtue of the second paragraph of
Application Form for Approval of Operation of Agricultural Futures Trading Business by Derivatives Business Operators By virtue of Paragraph 2 of Section 22 of the Derivatives Act B.E. 2546 (2003), the SEC
securities or derivatives for the business operator’s proprietary trading including the business operator’s internal report relating to such investment, for no less than five years from the date the investment
general public as being ready to engage as an agent in the business of trading in derivatives with others, and has been licensed or registered under this Act, excluding those derivatives brokers with the
, the applicant shall have no record of violation of the law governing the undertaking of its business, other laws relating to financial business and concerning unfair securities trading, fraudulent or
undertaking of the business, the law on anti-money laundering or other law relating to financial business relating to unfair securities trading or fraudulent or dishonest practice, regardless of whether such
of normal trading session of every business day; Calculation for the market price of the derivatives under the first paragraph shall be in accordance with the rules prescribed by the derivatives
technology” as “an effect causing the securities company operate business inconsistent namely trading securities system was damaged and unable to operate in the normal condition etc. or an effect causing harm
relating to financial businesses, regardless of whether such laws are Thai or foreign laws, which concern unfair practices of securities trading or business operations with the nature of deceit, fraud or
impacts. If the impacts as such significantly affect customers or relevant persons, such as, a close or postponement of opening in any business locations, a failure to securities trading systems or