act as a director, manager or person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application for approval
in Paragraph 2, the SEC Office shall have the power to order registered derivatives business operator who cannot maintain the qualification specified in Clause 11, make correction, undertake, or
notification the rules with which derivatives business operators shall comply. SECTION 19. The SEC Office shall have the power to order any derivatives business operator to submit reports or any other documents
power under the aforesaid notification. Clause 9/1. In the case where the lender is one of the following juristic persons, the business operator and the lender may agree otherwise for the undertaking
Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities
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
, 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
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
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
regulations: Clause 1. In this Notification: (1) “Gold derivatives brokerage business” means derivatives business in the category of derivatives broker limited to gold derivatives. (2) “Gold business operator