procedures; “ derivatives business operator reporting system ” means an electronic data interchange provided by the SEC Office for filing reports with the SEC Office. Clause 2 A derivatives business operator
licensed derivatives business operator in the category of derivatives brokerage; “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ business
for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business operator, futures trading manager or futures
regulations: Clause 1. In this Notification: (1) “Gold derivatives brokerage business” means derivatives business in the category of derivatives broker limited to gold derivatives. (2) “Gold business operator
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
. Notification of the Securities and Exchange Commission No. Kor Thor. 11/2553 Re: Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer _____________ By virtue
documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given to customers and
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 28. A derivatives business operator shall prepare and submit financial statements to the SEC Office. Such financial statement shall be made
suitability of investment relating to such securities; (9) “ foreign securities business operator ” means any person licensed to undertake securities business by a regulatory agency on securities and securities
the notification to extend the applicability of the provisions of this Division to any other categories of derivatives business operator.