following regulations: Clause 1. The civil dispute incidental to or resulted from the derivatives business, which the customer of the derivatives business operator may refer to settle by means of arbitration
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
./Mrs./Miss/Entity ……………………….. of the risk involved in futures trading before opening an account or operating the derivatives business for the customer on the following matters: 1. The characteristics of
securities of the customer and wishes to borrow the securities from the customer or to lend the securities to other persons, the business operator must have a prior written consent of its customers. If the
to extend the applicability of the provisions of this Division to any other categories of derivatives business operators. SECTION 32. In this Division, (1) “customer” means any person who uses the
; “ complaint ” means a compliant relating to or as a result of derivatives business in the category of derivatives brokerage. Clause 2 For appropriate customer complaint proceedings, a derivatives broker shall
customer. Derivatives broker must send the confirmation statement and the evidence of margin call under the first paragraph to customers by the method agreed with the customers within the next business day
complaint handling system in relation to securities business undertaken by the securities company, its employee or its agent; (2) receive a complaint in (1) from a customer and complaint from a customer
Commission Notification of the Securities and Exchange Commission No. Kor Thor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker _____________ By virtue of Section 9 and
Clause 12, Clause 15 and Clause 26 of the Notification of the Capital Market Supervisory Board No. TorThor. 80/2552 Re: Rules on Undertaking of Derivatives Business for Licensed Derivatives Brokers dated 3