the Law on Securities and Exchange. “ goods ” means securities , gold , crude oil and other goods as prescribed under the Notification of the Securities and Exchange Commission Re: Determining
with power of management of a partnership or a limited company in which such person himself or any person or partnership or limited company as specified in Section 258(1), (2), (3), (4), (5) or (6) is a
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 3. In this Act: “goods” means securities, gold, crude oil, or any other property as specified in the notification of the SEC with the
is obliged to deliver the goods in the amount specified in the contract to the other party at a given time in the future, and the other party, in turn, is obliged to make payment for such goods at a
management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to
association related to securities business applying for establishment; (2) the most recent certification of registration of the founding securities companies issued by the Office of Partnership Registration
the underlying goods of derivatives (if any) before sending trading orders; (2) having a system for repaying obligations under derivatives and delivering the underlying goods of derivatives (if any) by
position of such person is required to be registered with the company-partnership registrar of the Ministry of Commerce, the derivatives business operator shall submit a copy of such registration certificate
facts which should be revealed in order to deceive or materially mislead clients pertaining to derivatives, goods or variables. Clause 9 2 In engaging in derivatives with clients, the derivatives dealer
: ………………………………………....................... (3) Current position in the affiliated audit firm ( Partnership ( Other position (please specify):………………… (4) Signature affixed in the audit report of the audit firm's clients since ....(YEAR)…… (5