securities for business take-overs, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of rules, regulation, notifications, orders, or directions under this Act
. TorThor. 25/2551 Re: Initial and Maintenance Margin Requirements for Derivatives Trading in Derivatives Exchange _____________ By virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) which contains
business operator persuant to the law on agricultural futures trading; (4) the Bank of Thailand; (5) an international financial institution; (6) a juristic person established under a specific law; (7) a
Exchange Commission No. Kor Thor. 20/2563 Re: Rules, Conditions and Procedures for Application for License and Issuance of License for Establishing a Securities Trading Center under Regulatory Sandbox to
. 4 Notification of the Office of the Securities and Exchange Commission No. SorThor. 3/2553 Re: Preparation and Maintenance of Information Relating to Derivatives Trading _____________ By virtue of
of the Securities and Exchange Commission No. Sor Thor. 15/2558 Re: Rules in Detail related to Proprietary Trading of Intermediaries ___________________ By virtue of Section 98(7)(b) of the Securities
prevention of damage caused by risks arising from business undertaking to assure that there will not be any adverse effect on business undertaking of the securities company . All types of risks which may occur
allowed for derivatives trading under Clause 8 and Clause 9 shall maintain its qualifications according to Clause 6 at all times when such derivatives broker trades derivatives for its proprietary account
) all types of securities business license except the followings: (a) debt securities brokerage; (b) securities borrowing and lending business. (2)2 licenses for providing securities registrar services
to trading, the Client should obtain from his/her derivatives agent clear explanation of all fees and other charges for which it will be liable relating to trading, settlement or exercise of options