this English translation is strictly for reference. Notification of the Securities and Exchange Commission No. Kor Thor. 66/2547 Re: Maintenance of Financial Position of Licensed Derivative Brokers
reference. Notification of the Securities and Exchange Commission No. Kor Thor. 66/2547 Re: Maintenance of Financial Position of Licensed Derivative Brokers __________________ By virtue of Section 9 and
, the Securities and Exchange Commission hereby issues the following regulations: Clause 1. The person granted a license to undertake derivatives business in the category of derivative broker shall have
: Clause 1. The person granted a license to undertake derivatives business in the category of derivative broker shall have paid-up registered capital of not less than one hundred million baht. The person
be repealed.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
derivatives agent. “Derivative exchange” means any derivative exchange having been granted license from the Securities and Exchange Commission. Clause 3. For the purpose of maintaining net liquid capital of
and Holidays of Derivatives Business Operators dated 3 August 2009, the SEC Office hereby declares Monday, 16 May 2011 a special holiday of securities companies and derivative business operators
, 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
financial instruments were derived from a variety of activities, including, derivative warrants (DWs), over-the-counter (OTC) derivatives, investments in debt and equity securities for the Company’s own