Securities and Exchange Commission concerning the Approval of Investor Contact Person and Standards of Conduct; “Online Branch” means a branch office that provides a self-service platform for customers through
trading, derivatives trading or mismanagement in the manner of deception, frauds or corruption during the period as prescribed by the Office, but not exceeding five years prior to the date the branch office
, securities trading or mismanagement in the manner of deception, frauds or corruption during the period as prescribed by the Office, but not exceeding five years prior to the date the branch office starts its
criminal proceedings by an agency having charge and control of the law, for an offence relating to unfair practice concerning securities or derivatives trading or administration amounting to deception
line with the corporate budget plan and the corporate strategic plan; (3) allocation of sufficient human resources for the information technology function, for example, arrangement or development of
have personnel with knowledge, capability or experience that can be of use in the undertaking of derivatives broker business, sufficient to efficiently undertake derivatives business. Clause 10
Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...
Division shall not apply to the derivatives exchange under the second paragraph of Section 54. SECTION 57. A derivatives exchange shall have: 18 (1) sufficient financial resources for the proper performance
sufficient for the Selection Committee to consider nomination of such experts. The rules under the first paragraph shall be approved by the Minister and shall continue to be in effect even though the Selection