The Derivatives Act The Derivatives Act B.E. 2546 SECTION 31. The provisions of this Division shall apply to derivatives agent licensed under Section 16. The SEC may, if appropriate, promulgate the
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate
. Chapter1 General Provisions _____________________________ Division 1 Regulatory purpose _____________________________ Clause 2 Due to the undertaking of an intermediary as capital market servicer renders
or contracts. “ insurance ” means the professional indemtity insurance. Chapter 1 Calculation and Reporting of Maintenance of Capital Division 1 Liquid Assets and Insurance Used for Maintenance of
Agreements with Clients prior to Providing Services ______________________ Division 1 General Provisions _______________________ Clause 10 In cases where an intermediary is required to make an agreement with a
allocation shall come into force as from 1 April 2016. Chapter1 General Provisions _____________________________ Division 1 Regulatory Purpose _____________________________ Clause 2 Due to the undertaking of
other law from such acceptance of selling orders or closing out of positions. Chapter 3 Engagement in Agreements with Clients prior to Providing Services ________________________ Division 1 General
--------------------------------------- Division 1 Contacting, Soliciting, or Giving Advice for Customer and Performance of Duties as Professional --------------------------------------- Clause 12. Derivatives broker shall arrange to have
internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the division and personnel
Clause 2 have details as provided in appendix at the end of this Notification of Practice Guidelines, whereby such details are as the following matters: (1) Division 1 Objectives of practice guidelines for