process as necessary. Chapter 2 Criteria for Approval to Use Back Office Service Clause 5 Except as specified in Clause 7, derivatives broker can use back office service from service provider that has
. KorNor. 22/2552 Re: Determination of Investment Management not being regarded as Securities Business in the Category of Private Fund Management _____________ By virtue of Section 4 and Section 14 of the
derivatives, or in trading derivatives with a person licensed to undertake derivatives business in the category of derivatives dealer, shall not deem to be a derivatives dealer. Clause 2. This Notification
shall not be effected, which increase the efficiency in managing its cost. The Office, therefore, has amended the prescription concerning working procedures and conditions for securities company on using
licensed to undertake securities business in the category of mutual fund management shall have paid-up registered capital of not less than one hundred million baht. Clause 4. The securities company licensed
shall not apply to the securities company’s branch office in foreign countries. Clause 3. The securities company shall open within the hours, and close on the days as follows: (1) in case of providing
by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) stipulates that no securities companies shall engage in any other business which is not a licensed securities business, except when an
instruments within an appropriate time. A derivatives broker shall not declare its intention to use a client’s rights and benefits without the client’s order or consent given in writing. Clause 7 3 A
use valuation method and shall be granted exemption as follows: (1) in determining the fair value of equity instruments issued by PTT Public Company Limited for calculating the net asset value of mutual
licensed to undertake securities business in the category of mutual fund management shall have the paid-up registered capital of not less than Baht 100 Million. Clause 2. This Notification shall come into