Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By
broker does not possess mentioned information or documentation above within three years from the date this notification become effective. As added by the SEC Office Notification No. Kor Thor 13/2549 Re
, prior to the effective date of this Notification, the derivatives broker has existing subordinated liabilities, which are not included in the calculation of the total liabilities under Clause 2, in the
Commission No. KorThor. 7/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer By virtue of Section 6, Section 9 and the third paragraph of
undertaking any act in compliance with this Notification. Clause 13. In case the derivatives broker invested in securities or held position for their proprietary account before the effective date of this
shall be repealed. Clause 3 In this Notification: (1) “ derivatives broker ” means a person who is licensed to undertake the derivatives business in the category of derivatives brokerage; (2) “ manager
Market Supervisory Board under Section 6 of the Derivatives Act (No. 2) B.E. 2551 (2008) hereby issues the following regulations: Clause 1 In this Notification: “ derivatives broker ” means a person
August 2009, the SEC Office hereby issues the following regulations: Clause 1 In this Notification: (1) “ derivatives broker ” means any person licensed to undertake derivatives business in the category of
. 16/2551 Re: Granting of Approval for Undertaking Derivatives Business in the Category of Derivatives Broker Limited to Gold Derivatives _____________ By virtue of Section 9 and the third paragraph of
specified by derivatives broker. Such conduct shall specify at least include internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall among