each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to
; “ capital market product having high-risk or complex characteristics ”5 means the following capital market products: (1) investment units having high-risk or complex characteristics including: (a) investment
granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for
contracts are not subject to the Derivatives Act B.E. 2546 (2003): (1) contracts that are considered securities ; (2) contracts of purchase or sale of securities for which the settlement is made via a
hasbasic understanding of general laws related to the profession. The qualifications will be considered from the personnel’s: □(2.1) First name, last name, and education; □(2.2) Work experiences, given with
country or jurisdiction specified in the database in Clause 14(3); (2) a corporate client with complex shareholding or functional structures that may raise doubt or difficulty in determining the true
applying for such approval, the management company shall prove that the classification of units is practicable and that it has considered the benefits of all unitholders including the impact on each class of
cases where the derivatives business operator has advanced its own asset to secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer
Rules, Conditions and Procedures for the Establishment and Management of Mutual Funds for Institutional Investors or Ultra High Net Worth Investors . (2) the foreign service provider has been considered
of the existing trade association as approved by the general meeting of the trade association (if any). Clause 3 After the SEC Office has received the application and considered that the regulations of