--------------------------------------- Division 1 Contacting, Soliciting, or Giving Advice for Customer and Performance of Duties as Professional --------------------------------------- Clause 12. Derivatives broker shall arrange to have
Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
Office. Chapter 3 Operation ____________ Division 1 Client Contact, Solicitation, or Giving Advice and Professional Conduct _____________________ Clause 13 Repealed. Clause 13/1 The derivatives broker
Commission No. KorThor. 7/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer By virtue of Section 6, Section 9 and the third paragraph of
2 แบบรายงานการปฏิบัติหน้าที่ของผู้แนะนำรายชื่อลูกค้า (introducing broker agent) ของผู้ประกอบธุรกิจสินทรัพย์ดิจิทัล ผู้ประกอบธุรกิจสินทรัพย์ดิจิทัล บริษัท
, willfully or negligently, of the derivatives broker or its staffs. Clause 3. Derivatives broker shall not appoint any person to be its agent to undertake custody of customer assets. Clause 4. In taking
). “derivatives business” means the undertaking to provide services as the following: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other
Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities
statement requiring derivatives broker to be responsible for such assets in full amount. Clause 3 A derivatives broker shall not appoint any person as its agent to undertake custody of assets of clients
. Notification of the Securities and Exchange Commission No. Kor Thor. 11/2553 Re: Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer _____________ By virtue