documentation regarding the controlling person in derivative trading of the customer as well as financial condition and debt repayment capability of the customer for every existing customers who Derivatives
paragraph to submit any necessary document or report within the appropriate period for the purpose of considering the capability to maintain its net capital . Clause 6 The derivatives broker may not reduce
the securities company under the first paragraph to submit any necessary documents or reports within the appropriate period for the purpose of considering the capability to maintain its net capital
the responsible person of such scheme. “ credit rating ” means the credit rating by a credit rating agency accepted by the SEC Office which estimates the capability to make repayment under instruments
equal to the amount of the license fee already paid by the applicant for the said derivatives business license. Chapter 3 Return of Existing Derivatives Business License Clause 18 An applicant for
business applying for establishment; (2) a photocopy of the license of the existing trade association; (3) the regulations of the existing trade association certified by the Registrar of Trade Associations
by the applicant for the said derivatives business license. Chapter 3 Return of Existing Derivatives Business License _____________ Clause 18 An applicant for derivatives business license for the
equipped with knowledge and capability in trading futures contracts and protecting their own interest.
units of domestic money market fund; (4) the clients who wish to invest in shares or share warrants of a company and they are existing shareholder of the company while there is such investment. In case
person acquires additional units, the total value of the units held when combined with the existing units shall be no less than ten million baht. The calculation for the total value of the units held in