. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the general public as being ready to engage as an agent in the business of trading in derivatives
Securities and Exchange Commission No. SorThor. 24/2548 Re: Approval for Auditor of a Derivatives Business Operator, Derivatives Exchange, and Derivatives Clearing House By virtue of Section 14, the second
; (6) “ derivatives exchange ” means any derivative trading center licensed by the Securities and Exchange Commission; (7) “ derivatives clearing house ” means any derivatives clearing house licensed by
exchange, as the case may be. “ clearing house ” means a clearing house for transactions related to derivatives, or a clearing house for transactions related to securities, as the case may be. “ person with
general public as being ready to engage as an agent in the business of trading in derivatives with others, and has been licensed or registered under this Act, excluding those derivatives brokers with the
or partnerships under (1) or (2) that hold shares in an aggregate of more than ten percent of the outstanding shares of such company; (4) Limited company or public limited company of which the fund
market, and etc , the Client may sustain a loss due to its outstanding position in derivatives contracts at settlement date. 3.5 Risk Associated with Failure to Execute Stop Loss Order A derivatives agent
which has similar supervision to that of the Office; (6) “Company” means any limited company or public limited company; (7) “Holding company” means any company undertaking core business in holding shares
Related to Capital Market Which Are Not Deemed An Undertaking of Derivatives Exchange and Derivatives Clearing House for Which an Approval Is Required _______________________ By virtue of Section 3 and
units; (10) any other instruments as specified by the SEC. "bill" means any bill issued for raising funds from the public as specified in the notification of the SEC. "debenture" means any debt instrument