controlling its business by mean of maintaining capital adequacy and capital reserve as prescribed by related rules. Provided that, after submitting an application, if it appears that the applicant can not

equipped with knowledge and capability in trading futures contracts and protecting their own interest.

been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

provided in the SEC’s online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the qualifications of the person who would

meeting with clients when an account is opened / the first transaction is processed, provided that the following criteria are met: (1) the financial institution is under supervision of a financial regulator

conformance of the information technology governance policy shall be provided to the board of directors of the intermediary at least once a year. In case of the occurrence of any event which may significantly

first paragraph, the term of “ foreign collective investment scheme ” means a collective investment scheme established under foreign law provided that it has been granted approval, registered or

statements, registration and any other application; (4) accept fees as specified in the ministerial regulations or as determined by the SEC and the Office. Provided that it shall be solely for the benefit of

documents and evidences in accordance with the format and procedures provided by the Office of the Securities and Exchange Commission in the electronic operational system of the Office of the Securities and

offering having purpose to register the shares as listed securities on the Stock Exchange of Thailand, the offeror shall report by using the Form 81-1-IPO as provided on the website of the SEC Office ; Other