a derivatives broker which has ceased operation of its derivative business and already informed the cessation thereof in writing to the SEC Office. The SEC Office shall have the authority to require
ceased operation of its derivative business and already informed the cessation thereof in writing to the SEC Office. The SEC Office shall have the authority to require the derivatives broker under
Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well as the
Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well as the
of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records on offences relating to unfair derivatives trading
increasing shall be calculated in the shareholder’s equity of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records
Supervisory Board under Section 6 of the Derivatives Act (No. 2) B.E. 2551 (2008) hereby issues the following regulations: Clause 1 In this Notification: “derivatives broker” means a person licensed to
Supervisory Board under Section 6 of the Derivatives Act (No. 2) B.E. 2551 (2008) hereby issues the following regulations: Clause 1 In this Notification: “derivatives broker” means a person licensed to
, conditions and procedures for brokerage and dealing in foreign securities issued under the law on securities and exchange; (2)1 “derivatives broker” means entity licensed to undertake derivatives business in
Investment advisors: “Any person who, for compensation, engages in the advisability of investing.” Broker/Dealer: Broker executes trades for clients / dealer executes trades for own account 90% of Investment