establishment of an association related to securities business to the SEC Office as per the Form specified by the SEC Office, together with the following evidentiary documentation: (1) the regulations of the
identity and business reputation of the client’s principal owners, key management, and those charged with its governance. · The nature of the client’s operations, including its business practices
agricultural futures business, with price settlement and contract delivery obligations; (2) fifty million baht for undertaking of agricultural futures business with price settlement and contract delivery
general public as being ready to engage as an agent in the business of trading in derivatives with others, and has been licensed or registered under this Act, excluding those derivatives brokers with the
days as from the date of receiving the application from the SEC Office. The agricultural derivatives business license shall be in accordance with the forms attached herein. Clause 8 The application fee
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as
derivatives trade which shall at least contain the rule on financial stability and position, as well as the conduct of business, and there shall be specified the concerned provisions of law or rule, and the
including the code of conduct announced by the derivatives dealer in compliance with this Notification. Chapter 2 Restrictions in Undertaking Derivatives Business Clause 6 1 In providing services as
in any derivatives business only with institutional investors shall register with the SEC Office, unless it engages in the derivatives fund management business for a mutual fund under the Securities