proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An
proceed as before, but in any case no later than 1 February 2020. Notified this 10th day of November 2014. (Mr. Vorapol Socatiyanurak) Secretary-General Office of the Securities and Exchange Commission 3
./Mrs./Miss/Entity ……………………….. of the risk involved in futures trading before opening an account or operating the derivatives business for the customer on the following matters: 1. The characteristics of
client’s assets without delay upon receivership by court order, in compliance with the following regulations: (1) The SEC Office shall proceed with the segregation and management of the client’s assets by
authorized in writing from the customer. Clause 6. Derivatives broker shall proceed as necessary for clients to obtain rights and benefits arising from their securities or any instruments in the custody of
license under the regulatory sandbox shall be able to demonstrate the ability to proceed in accordance with such procedure and internal control system throughout the period of providing services as a
prohibited characteristics of personnel in securities businesses. In case the applicant appears to possess any prohibited characteristics, the Office shall proceed in accordance with the rules and procedures
Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of
providing service to a client, a derivatives broker shall proceed as follows: (1) determine the aggregate position limits for a client including the margin rate or value, based on fluctuation of derivatives
or time certificate of deposit, such deposits or certificate of deposit shall not have any restriction on redemption before maturity. (2) investing in treasury bills, Thai Government Bonds, state