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
Concerning Futures and Options Trading 3.1 Understanding Terms and Conditions of Derivatives Contract Since derivatives trading carries a high degree of risk, therefore, prior to making investment decisions
, please provide us the result of quality review. 5 Does the firm establish the progression route within the firm out of training contract and how senior managers/directors/ partners promoted – what criteria
” means any person who is designated by the derivatives fund manager to be an agent to solicit investors, together with proposed investment plans, to enter into a contract with the derivatives fund manager
maturity date within 1 year, unless such condition has been waived by the SEC Office; 2. financial lease contract which a securities company , as lessee, would be able to terminate the contract before the
Organization of Securities Commissions (IOSCO) and has already signed as a signatory A of the Multilateral Memorandum of Understanding concerning Consultation and Cooperation and the Exchange of Information
derivatives, products or variables prescribed in a derivatives contract, in accordance with the rules specified in the notification of the SEC Office. Chapter 3 Operation
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
must possess knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of integrity and honesty and without any disgraceful record, and must