the trading account or trading the futures and/or options on behalf of the Client as follows: 1. Futures 1.1 Nature of Futures Futures is a contract in which parties are bound to perform their
derivatives fund management contract shall have the characteristics in compliance with the following rules: (1) Having a clear scope of investments or restrictions of investments; (2) The agreement shall not be
which clearly states that it shall hold the assets in which it has invested until its maturity or throughout each investment period or the term of private fund management contract; (b) a specified
following funds: (a) a fund which clearly states that it shall hold the assets in which it has invested until its maturity or throughout each investment period or the term of private fund management contract
approval of the Cabinet. “derivatives” means a contract having one or any combination of the following characteristics: (1) a contract in which one party is obliged to deliver goods as specified in the
business operation in the category of derivatives broker; “futures” means a contract trading on the derivatives exchange with any one or more of the following characteristics: (1) a contract in which a party
Securities and Exchange Commission on Approval of Auditors in the Capital Market B. The subsidiaries, associates, or joint ventures of the businesses in Clause 3, as well as the contract values or audit fee
be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back
, securities index or any other variables as specified in the notification of the SEC with the approval of the Cabinet. “derivatives” means a contract having one or any combination of the following
of derivatives broker; “derivatives contract” means a derivatives contract under Section 3 of the Derivatives Act B.E. 2546 (2003) having securities, gold, crude oil, currencies, exchange rate