Law on Derivatives ; (17) derivatives business operator under the Law on Agricultural Futures Trading; (18) international financial institution; (19) Deposit Protection Agency; (20) Stock Exchange of
all customers equally. (3) Keep confidential information of the customer and refrain from disclosing customer’s profile, derivatives trading information or financial information to other persons except
undertaking of the business, the law on anti-money laundering or other law relating to financial business relating to unfair securities trading or fraudulent or dishonest practice, regardless of whether such
. “Institutional investor” means: (1) Commercial Banks; (2) Financial companies; (3) Securities companies which purchase investment units for proprietary trading, managing for private funds, or for management of
investment objectives, the level of knowledge, understanding, and experience in derivatives trading, the financial status, and the repayment ability of each client. In performing the duty in accordance with
before public disclosure of financial statements (for example, reporting requirements on directors’ and executives’ securities trading and penalty measures on misuse of inside information, etc.) This is to
business operator persuant to the law on agricultural futures trading; (4) the Bank of Thailand; (5) an international financial institution; (6) a juristic person established under a specific law; (7) a
/2551 Re: Securities and Derivatives Trading for Derivatives Broker _____________ By virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) as amended by the Derivatives Act (No. 2) B.E. 2551 (2008
issued by financial institution under the law on interest on loan of financial institution ; (d) investments in securities, derivatives and other financial instruments; (e) receivables of securities
Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By virtue of Section 106 of the Securities and Exchange, Act B.E. 2535 (1992), and Clause 1 of the