of Signatory A, or [ii] which is responsible for regulating securities or derivatives activities and agree with the SEC Office on memorandum of understanding concerning consultation and cooperation and
matching orders or arranging for counter parties, or by way of providing a trading facility for or facilitating those having intention to trade in derivatives to be able to agree upon or enter into a
appoint a panel of three arbitrators in the statement of claim, and the respondent may indicate his intention whether or not to agree to have three arbitrators in the counterclaim under Clause 10. In cases
power under the aforesaid notification. Clause 9/1. In the case where the lender is one of the following juristic persons, the business operator and the lender may agree otherwise for the undertaking
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...
intermediary should establish another measure to ensure that the operation of the outsourcee remains in compliance with the agreed term; (7) establish the term for the outsourcee to agree upon to allow the SEC
explanation of reasons supporting the selection of credit rating for inspection made by the SEC Office. Clause 19 A securities company may agree with a client on the rate of return which the securities company
may agree to pay the savings and contribution into the fund at the rate higher than that specified in the first paragraph upon approval of the Minister. The employer shall remit the amounts mentioned in
Person Classified as Institutional Investor , the lender and the borrower may agree on terms and conditions regarding collaterals differenct from the above rules. Clause 21 A securities borrowing and
, the lender and the borrower may agree on terms and conditions regarding collaterals different from the above rules. Clause 21 A securities borrowing and lending agreement for a short selling through a