gold derivatives brokerage business upon meeting the following requirements: (1) Having paid-up registered capital of no less than one hundred million (100,000,000) baht; (2) There being no event which
such change to the SEC Office within seven days from the effective date of the change specifying therein the effective date of such change. Clause 3. The SEC Office shall notify the derivatives business
damages arising from or related to its use. ---------------------- Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 26/2551 Re: Rules, Conditions and Procedures for Being Executive
Thai) : Title First Name Last name First name / Last name (in English) : Title First Name Last name Former First name / Last name (if any) (in Thai) Title First Name Last name Date of Change Former First
initial margin is minimal when compared to the value of derivatives contract. Keeping this in mind when there is a significant change in market price of the future contract investor can make large amount of
sound business control conduct; (3) Being able to maintain capital funds and set aside reserve capital in compliance with law establishing such legal entity or law controlling business undertaking of such
Objectives of practice guidelines for business continuity management The SEC provides this practice guidelines for being a guideline in practice through which covers a critical matter of business continuity
. Clause 21 In the case where the licensee, being required to maintain its status of legal entity in a conglomerate pursuant to Clause 13(5), is to change its shareholding structure to the extent that it is
Securities and Exchange Commission concerning Rules Relating to Maintaining of Capital Adequacy and Professional Indemnity Insurance of Management Companies; (2) the management company is not being
the management of funds; or (b) being the position of director, manager of the management company, or any person holding equivalent position called otherwise who take the highest responsibility in the