. 2551 (2008) hereby issues the following regulations: Clause 1 In this Notification: (1) “ derivatives broker ” means any person licensed to undertake derivatives business in the category of derivatives
business payable and derivatives business payables means company encumbrance from undertaking the securities business and derivatives business affected to the third person, namely net balance account of
: .............................................................Juristic Person Registration No............................... head office located at
needed should also be given; 2. If the objective above is to invest in a future project, disclose the details as specified in the Future Projects Section; 3. In case of a transaction with a person with a
Commissions (IOSCO) . Division 2 Board of directors and senior management responsibility Board of directors (“ Board ”) and senior management of the intermediaries shall be a responsible person for determining
securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “ client ” means a person who uses
Section 93 Securities and Exchange Act B.E. 2535 Section 93. Any person wishing to act on behalf of a company established to undertake securities business under foreign law by setting up a
property funds; (3) “Property Fund Manager” means a person who makes decisions to invest or dispose of real estate or leasehold right of property funds; (4) “Fund Manager of Fund for Solving Financial
derivatives intermediary. “ client ” means a person who uses services of intermediary , including any fund , unit holder and member of provident fund. “ fund ” means a mutual fund or a private fund. “ capital
Capital of Person Granted a License to be Derivatives Broker _____________ By virtue of Section 9 and Section 49 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the