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 virtue of Clause 27/1 of the
the 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
. Kor Thor 13/2549 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker (No. 2) dated 02/05/2006 which Clause 8 will be effective from 1 January 2007 7 As amended by the SEC
. Kor Thor 13/2549 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker (No. 2) dated 02/05/2006 which Clause 8 will be effective from 1 January 2007 7 As amended by the SEC
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
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
position for their proprietary account before the effective date of this Notification, such derivatives broker shall: (1) In case of investing in securities, the derivatives broker shall act in accordance
/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 Section 16 of the
13. In case the derivatives broker invested in securities or held position for their proprietary account before the effective date of this Notification, such derivatives broker shall: (1) In case of
shall be repealed.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