limited to debt instruments or granting credit for securities business under the law on Securities and Exchange; (4) a juristic person established under foreign law, which is a derivatives business operator
. 16/2551 Re: Granting of Approval for Undertaking Derivatives Business in the Category of Derivatives Broker Limited to Gold Derivatives _____________ By virtue of Section 9 and the third paragraph of
securities business in the category of: Ο securities broker; Ο securities dealer that not limited only to debt instrument; Ο securities finance. 1.1 Category of juristic person of the applicant, □ a commercial
include, internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well as having measures for
specified by derivatives broker. Such conduct shall specify at least include internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall among
and derivatives business operators located in Narathiwat, Pattani, Yala, Satun and Songkhla provinces shall include Chinese New Year as well as Hari Raya Puasa (Aidilfitri Day) and Hari Raya Haji as
งานและบุคลากรของ บริษัทหลักทรัพย์ (Chinese wall) ข้อ 3 ประกาศนี้ให้ใช้บังคับตั้งแต่วันที่ 1 มกราคม พ.ศ. 2547 ประกาศ ณ วันที่ 18 ธันวาคม พ.ศ. 2546 (นายประสาร ไตรรัตน์วรกุล) เลขาธิการ สำนักงานคณะกรรมการ
securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “ institutional client ” means a person who makes transactions with a securities company in
information which should not be disclosed between units and personnel (Chinese wall). The policies, rules and practices shall be prepared in writing with an approval from the company’s board of directors
undertake securities dealing that is limited only to debt instruments. “institutional client” means the following persons who undertakes transactions with a securities company in securities brokerage or