owner, the intermediary shall provide services to the client as if such person is retail investor. When the intermediary has already categorized type of the client , the intermediary shall notify the
discharged the executive or personnel responsible for the cause of prohibited characteristics of the applicant. 4.6 Having not deliberately concealed the financial status or the operating result during the
categorized type of the client , the intermediary shall notify the client to acknowledge the result of the client ’s categorization, rights, restrictions and risk level, including right to request for changing
DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) ( (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Se...
of derivatives shall be categorized according to their level of risk. The derivatives dealer shall also consider the purpose of investment and determine the appropriate quantity of derivatives
person, categorized by underwriters, and submit it to the SEC Office together with reports on securities sales results. The name list of the largest allocated persons under the first paragraph shall
securities to each person, categorized by underwriters, and submit it to the Office together with reports on securities sales results. The name list of the largest allocated persons under the first paragraph
of the securities company and shall be categorized into a margin account or a cash account, as the case may be. The client’s asset account under the first paragraph shall at least contain the following
anti-money laundering authority as high risk business/ profession; (7) a client who is categorized as higher-risk categories by the anti-money laundering authorities or the Securities Industry
unless there is a reasonable ground to believe that by the time the search warrant is obtained, the document or evidence may be relocated, concealed, destroyed, or deformed, then the search, seizures, or