; (2) A securities operation unit, the securities company may arrange for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices
; (2) A derivatives operation unit, the derivatives broker may arrange for the full-service branch office to share the derivatives operation unit with the head office or other full-service branch offices
postponing the public holidays on 13-15 April 2020 during Songkran Festival until the situation concerning the spread of the novel Coronavirus (Covid-19) has improved, in which case the Cabinet will consider
. Other derivatives liabilities 18. Provision 19. Other liabilities Total liabilities Shareholders’ equity 20. Share capital 20.1 Authorized share capital 20.2 Issued and paid-up share capital 21. Stock
Clause 26 For the communication with or providing services to a new client , an intermediary shall disclose at least the following information so that the client enable to consider [i] the information
In case of the death of independent director, resign or terminate by the SEC office or where Derivatives broker is a part of financial conglomerate which has share holding structure, examination of
Commission No. OrNor. 7/2547 Re: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling
an investment advisory company; (2) a company of which an investment advisory company holds shares of twenty percent or more of all voting right share; (3) a company having a shareholder who holds
information owner give other user the right to reach or modify his information such as share file etc., it shall give the right for specific person or specific group only and cancel such right when there is no
disclose at least the following information so that the client enable to consider [i] the information before making a decision to use the services and [ii] possible risks arising from using the services: (1