assets to another business or changing the financial instrument with the financial instrument of other business subjected to condition causing a loss to the business. 18. Provision means uncertain
, interest rate, financial index, securities index as goods or variable, or any other assets or variables as specified in the Notification of the Office; “financial institution” means any financial institution
on securities and exchange(SC); □ A life insurance company under the law on life insurance business; □ A financial institution established under specific law according to the Notification of the
having any circumstance which may cause an impact to the financial status or the operation of an applicant; (3) at least one of the directors has at least 3 years of work experience relating to buying or
than 100 million Baht; (2) not having any circumstance which may cause an impact to the financial status or the operation of an applicant; (3) at least one of the directors has at least 3 years of work
of the insurance company; (b) letter of guarantee of a commercial bank, finance company, or financial institution established under a specific law; (c) other collateral prescribed by the Office
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
user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other financial
From-to Reason of changing work/ (Month/Year) position (1) .......................... …….… ................... ………..………….. Details of duties and responsibility
reference. PAGE 2 Notification of the Securities and Exchange Commission No. Kor Thor. 8/2549 Re: Preparation and Disclosure of Financial Statements of Derivatives Business Operators By virtue of Section 9