Category of business applied for registration □ to be a derivatives advisor 1.1 Category of juristic person of the applicant, □ a commercial bank under the law on commercial bank (CB.); □ a finance company
). “derivatives business” means the undertaking to provide services as the following: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other
number of outstanding shares are held by a commercial bank, securities business operator, derivatives business operator or holding company; (b) Any company whose 75 percent or more of its total number of
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
license under this Notification; (5) “commercial bank” means any commercial bank in accordance with law on commercial banking or law on business of financial; (6) “securities company” means any securities
the registration as a derivatives business operator must be a juristic person as follows: (1) a commercial bank under the law on commercial bank; (2) a financial company under the law of finance
foreseeable future due to commercial operations. Chapter 3 Standards in Undertaking Derivatives Business Clause 7 The provisions in this chapter shall set the minimum standard for the performance of derivatives
variables as prescribed by the Office; (4) “ applicant ” means a person applying for derivatives business license under this Notification; (5) “ commercial bank ” means any commercial bank in accordance with
Rerson and Qualifications of Applicant _____________ Clause 4 An applicant for the registration as a derivatives business operator must be a juristic person as follows: (1) a commercial bank or a financial
to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a