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
person in subparagraph (a) who holds a net claim against such derivatives business operator arising out of derivatives transaction, closing out of derivatives positions, or adjustment in outstanding
Commission No. KorThor. 7/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer By virtue of Section 6, Section 9 and the third paragraph of
. Notification of the Securities and Exchange Commission No. Kor Thor. 11/2553 Re: Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer _____________ By virtue
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 28. A derivatives business operator shall prepare and submit financial statements to the SEC Office. Such financial statement shall be made
, hereby issues the following regulations: Clause 1 This Notification shall come into force from 1 November 2013. Clause 2 In this Notification: “ intermediary ” means: (1) a derivative business operator in
: Clause 1 In this Notification: “ derivatives business operator ” means a person obtaining the derivatives business license in the category of derivatives broker or derivatives fund manager, but not
the notification to extend the applicability of the provisions of this Division to any other categories of derivatives business operator.
Securities and Exchange Commission No. Sor Thor. 17/2551 Re. Report Preparation and Submission of Licensed Derivatives Brokers (No. 3) dated 4 June 2008. Clause 2 In this Notification: “ business operator
Checklist for ASEAN CIS Application Form Name of ASEAN CIS: ________________________________________________________ Name of Qualifying CIS Operator: ______________________________________________