The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for
demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets
give the securities company sufficient time for preparing or taking any action to allocate fund or solve an issue of maintaining the financial position possibly arising from operational risk. Clause 4 A
intermediary should establish a measure for protection of critical information under Clause 9(1) by taking the following guidelines into consideration: (1) prior to the use of the mobile devices, register the
cases where the derivatives business operator has advanced its own asset to secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer
taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the
” means any person licensed to undertake derivatives business in the category of derivatives broker. (2) “client’s assets” means (a) assets which derivatives broker received or held as collateral for
the approval of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification, “securities company” means a company licensed to undertake securities
Act, B.E. 2535 (1992), and Section 139(5) of the Securities and Exchange Act, B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 2) B.E. 2542 (1999) which contains a particular
securities analysis ” means an article or research paper which is prepared by a securities company to give advice to investors, directly or indirectly, on the value of securities, the suitability of investment