Market Supervisory Board under Section 6 of the Derivatives Act (No. 2) B.E. 2551 (2008) hereby issues the following regulations: Clause 1 In this Notification: “ derivatives broker ” means a person
) dated 14 December 2016 . Clause 2 In this Notification: “ derivatives Broker ” means the person obtaining the derivatives business license in the category of derivatives brokerage, but not including the
” means any person licensed to undertake derivatives business in the category of derivatives broker. (2) “client’s assets” means (a) assets which derivatives broker received or held as collateral for
should assign senior management as the accountable person in complying with Clause 6(2). Provisions in the Notification No. Sor Thor. 37/2559 Clause 6 An intermediary shall have in place information
. “ qualified liabilities ” mean: (1) liabilities which are secured with collateral placed by the securities company and are not under the condition allowing the creditor to call for prepayment before the
of secured debentures has offered the secured debentures for sale to its shareholders or the public or any person, the debenture issuer shall have the rights and duties as provided by the terms and
preparing records of clients’ assets from those responsible for physical keeping of such assets , and each transfer of clients’ assets shall be approved by the company’s authorized person who shall be neither
person responsible for managing information security incidents; (3) report any information security events to the responsible person under (2) and the SEC Office without delay; (4) carry out testing of
. Evidence on the appointment of a local representative in Thailand as the agent of CIS Operator ( issued by CIS Operator ) [ ] 5. Evidence on the appointment of an authorised person of CIS Operator ( issued
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