. 2551 (2008) hereby issues the following regulations: Clause 1 In this Notification: (1) “ derivatives broker ” means any person licensed to undertake derivatives business in the category of derivatives
. 2. Scope of Agreement under HK-TH MRF MoU HK-TH MRF MoU specifies the scope of agreement between SFC and SEC concerning mutual recognition of laws and regulations and the scope of cooperation to
Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and
September 2013 (“ Notification No. TorThor. 35/2556 ”) and the notification of the Office of Securities and Exchange Commission No. SorThor/Nor. 45/2559 Re: Rules in Detail on Regulations Concerning the
Notification of the Office of Securities and Exchange Commission No. Sor Thor/Nor. 45/2559 Re: Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of
Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013, the Office of the Securities and Exchange Commission hereby issues the following regulations
regulations: Clause 1 This Notification shall come into force as from 1 January 2015, except the following Clauses: (1) Clause 12(4), which is related to arrangement of agreement between clients and derivatives
to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.
2004; the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Securities company” means any company licensed to undertake securities
Exchange Commission Re: Determination of Other Regulations of Associations related to Securities Business ____________________ By virtue of Section 14 and Section 234(7) of the Securities and Exchange Act