brokerage licensee shall pay the fee according to the following criteria: (1) the license fee for members of the Stock Exchange who undertakes securities brokerage business on the Stock Exchange shall be at
Practice Guidelines No. NorPor. 4/2559 Re: Practical Guidelines for Business Continuity Management _______________________________ Reference is made to the notification of the Capital Market Supervisory
). “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
: Determination of Fees for Undertaking Businesses as Derivatives Business Operator dated 7 November 2016; (7) Notification of the Securities and Exchange Commission No. Kor Mor. 31/2560 Re: Determination of Fees
a Derivatives Business Operator _________ Whereas Section 24 of the Derivatives Act B.E. 2546 (2003) and Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 37
in investment Securities 5. Investments in subsidiary and affiliated 6. Receivables from Clearing House 7. Securities business receivables and Derivatives business receivables 8. Others derivatives
risk haircuts with respect to undertaking securities business or any other operation of a securities company ; (8) “ collateral ” means total sum of pledged assets for exposure to derivatives according
”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. Table of Contents Page Part 1: Business Operation and
: “Management company” means a securities company licensed to undertake securities business in the category of mutual fund management. “Closed-end fund” means a mutual fund which does not accept the redemption of
7. Clause 25 In case personnel in the capital market business are persons registered with the Stock Exchange or the derivatives exchange as an agent of a member who can place trading order through the