company or when the order of the SEC or the Office has come into force, shall be exempt from filing reports for all categories, commencing from the month in which the business operation ceases or is
Clause 3(1). Chapter 3 Conditions Imposed on Licensees ____________________ Clause 10 An agricultural derivatives business licensee shall comply with the following conditions: (1) commencing the operation
initiating after the market closing time shall be deemed as it is initiating in the next business day. Clause 3 A derivatives broker shall at least include the following information in the confirmation
exempt from preparing and filing reports for all categories, except report of clients’ assets as prescribed in Clause 3(3), commencing from the month in which the business operation ceases. Such exemption
commencing from 1 January 2011 onwards. Notified this 15th day of December 2010. (Mr. Thirachai Phuvanatnaranubala) Secretary-General Office of the Securities and Exchange Commission Remark: The rationale for
statement of claim to be delivered to the respondent. The claimant may request for the Office’s mediation of dispute prior to commencing the arbitral process, at the same time of filing the dispute. Clause 8
account or commencing derivatives trading with a client, the derivatives broker shall put in place a procedure to ensure that the client is aware of the risk associated with derivatives trading by preparing
investment limit , the intermediary shall undertake the additional acts as follows; (1) apply for an allocation from the investment limit for each client before commencing the service provision. In this regard
agreement recognized by the SEC Office; (c) having repayment period of the transaction not exceeding ninety days; (d) value of securities received from repurchase transaction as of the commencing date of
4. Before commencing the fund supervisor business, the person registered as a qualified fund supervisor shall notify the Office at least thirty days prior to the date of commencement of such business