Contacts will develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a
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
Additionally Referred Underlying of a Derivatives in Type of Goods and Variables. “ clearing house ” means a clearing house by definition given under the Law on Securities and Exchange. Clause 2 The following
derivatives (contract), derivatives business, derivatives exchange, derivatives clearing house, regulatory association of derivatives business operators and prevention of unfair derivatives trading practices
Securities and Exchange Commission No. SorThor. 24/2548 Re: Approval for Auditor of a Derivatives Business Operator, Derivatives Exchange, and Derivatives Clearing House By virtue of Section 14, the second
: ............................ Remark : The applicant is required to notify the SEC Office in advance at least five business days before the opening of the representative office abroad.
center or network with the characteristics as specified in the notification of the SEC. “derivatives clearing house” means any center or network where services for clearing and settlement of obligations
contract, and has been licensed or registered under this Act, excluding any center or network with the characteristics as specified in the notification of the SEC. “derivatives clearing house” means any
; (6) “ derivatives exchange ” means any derivative trading center licensed by the Securities and Exchange Commission; (7) “ derivatives clearing house ” means any derivatives clearing house licensed by
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm