relating to derivatives contract, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function provides services for
; (2) the determination of fees for application for an approval, application for obtaining a license, a license, or for operating the business as licensed; (3) the issuance of rules relating to the
Circumstances relating to the nature or timing of the auditor’s work (paragraph number........) ( 2.2.3 Limitations imposed by management (paragraph number........) ( 2.3 If the auditor’s report on the prior
. 4 Notification of the Office of the Securities and Exchange Commission No. SorThor. 3/2553 Re: Preparation and Maintenance of Information Relating to Derivatives Trading _____________ By virtue of
, which shall take into account the standards approved by the Board of Auditing Practices under the law relating to auditors. The financial statements under the second paragraph must be examined and given
Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No.4) B.E. 2551 (2008) and Section 9 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the
providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the
or investment units; (2) a person licensed to undertake derivatives business in the category of derivatives broker; “ securities company association ” means an association relating to securities
Section 16 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons, which Section 29 in conjunction with Section 33, Section
relating to capital markets according to Clause 8; (3) a person to be appointed shall not be a director, executive, or employee of another company and shall not be a derivatives investment manager for any