this English translation is strictly for reference. 3 Notification of the Securities and Exchange Commission No. Kor Thor. 66/2547 Re: Maintenance of Financial Position of Licensed Derivative Brokers
derivative broker shall have paid-up registered capital of not less than one hundred million baht. The person granted a license under the first paragraph shall not include the person granted a license to
be repealed. Clause 2. In this Notification: “Derivatives agent” means any person licensed to undertake derivatives business in the category of derivatives agent. “Derivative exchange” means any
, hereby issues the following regulations: Clause 1 This Notification shall come into force from 1 November 2013. Clause 2 In this Notification: “ intermediary ” means: (1) a derivative business operator in
คืนผลตอบแทนโดยอ้างอิงกับตัวแปร (embedded derivative instruments) มากขึ้น นั้น สำนักงานขอเรียนว่า เพื่อประโยชน์ในการติดตามการคำนวณมูลค่ายุติธรรมของทรัพย์สิน ดังกล่าว และการบริหารความเสี่ยงในการลงทุนของ
and Exchange Act B.E. 2535 (1992) shall apply mutatis mutandis to a derivative broker in respect of providing operational control and security for information technology . Clause 3. This Notification
). Clause 9 A proprietary trading of derivatives by a securities intermediary shall be in accordance with the Notification of the Capital Market Supervisory Board concerning Derivative Trading and Provision
derivatives broker. “Derivative exchange” means any derivative exchange licensed by the Securities and Exchange Commission. “Initial margin” means the minimum amount of asset a customer must deposit to secure
customer as well as maintain it up-to-date. In this regard, the list of derivatives trading account shall contain at least the materials specified in the notification of the SEC Office. Clause 25. Derivative
practice of such contract does not allow the party obliged to deliver goods to be released from the contractual obligations by closing out a derivative position. A contract having the provisions that require