in the category of derivatives dealer under the law of such foreign country; provided that this is limited to the case derivatives dealer registration. Clause 3 . An applicant for derivatives business
for the benefit of the operation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
the SEC as being necessary to rectify the condition or operation of the securities company; (c) in the case where an appointment is made in accordance with Section 145; (d) in the case where the holding
under the KYC/CDD process; (4) the account is re-activated by a large size of transaction after being inactive for some time; (5) significant amount in terms of size/volume is transacted, which is
....................................................................................................................................................... ....................................................................................................................................................... ....................................................................................................................................................... ( - Specify the key features of the securit...
securities company which is in a financial conglomerate with any of the following shareholding structures will be able to submit a request for an exemption from appointment of its independent director to the
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
client or is necessary and useful for the client in the situation at that time; (2) dealing the transaction similarly to arm’s length transaction basis; (3) conforming to additional conditions (if any), as
... TRANSLATED VERSION As of November 23, 2011 3 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of
Derivatives Intermediaries (No. 2) dated 3 June 2014 , the SEC Office hereby issues the following regulations: Clause 1 The provision in this Notification is prescribed in details of appointing an independent