derivatives agents to restrict or prohibit a client from acquiring further position, to close its trading accounts or to liquidate his/her position if the client’s derivatives transactions have or may have
beneficial owner of shares means a beneficial owner of shares as prescribed in the fourth paragraph of Section 25 of the Derivatives Act B.E. 2546 (2003) . (4) “ precious metal ” means gold, silver or platinum
” means gold, silver or platinum. Chapter 1 Qualification of Applicant _________________ Clause 3 An applicant applying for the license of precious metal derivatives brokerage shall be newly established
of passwords; (d) tightly restrict and control the use of utility programs and limit access to program source code. Chapter 4 Information Communications Security via Computer Network Systems and
10/1. In applying for license, if the applicant requests to restrict the scope of its securities borrowing and lending business in any way, then after license has been given,, the business operator
starts its operation; (4) not being ordered by the Capital Market Supervisory Board or the Office to restrict its business expansion or cease its operation, or in the process of rectifying its operation by
operation; (4) not being ordered by the Securities and Exchange Commission, the administrative panel or the Office to suspend or restrict its operation, or not being ordered by the Securities and Exchange
; (c) establish password management systems to ensure security of passwords; (d) tightly restrict and control the use of utility programs and limit access to program source code. Additional Guidelines 1
อีทีเอฟทองคำที่จัดตั้งขึ้นตามประกาศเกี่ยวกับการจัดตั้งกองทุนรวมและการเข้าทำสัญญารับจัดการกองทุนส่วนบุคคล “โลหะมีค่า” หมายความว่า ทองคำ เงิน (silver) แพลทินัม หรือทรัพย์สินอื่นใด ตามที่สำนักงานประกาศ
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...