reference. 4 Notification of the Securities and Exchange Commission No. Kor Khor. 8/2554 Re: Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals
Securities and Exchange Commission No. KorKhor. 8/2554 Re: Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals Derivatives _____________ By virtue
the category of derivatives brokerage limited to precious metal derivatives; (7) a commercial bank ; (8) other financial institutions as prescribed by the Securities and Exchange Commission; or (9) a
business applying for establishment; (2) a photocopy of the license of the existing trade association; (3) the regulations of the existing trade association certified by the Registrar of Trade Associations
million baht from the date of the shareholding structure in which one or several existing shareholders hold combined shares less than twenty-five percent of the company’s shares eligible for voting rights
: · communications with existing or previous professional accountants; · inquiry of personnel/third parties such as bankers, legal counsel and industry peers; · background searches. And do the considerations include
, prior to the effective date of this Notification, the derivatives broker has existing subordinated liabilities, which are not included in the calculation of the total liabilities under Clause 2, in the
frequency in reviewing shall depend on the level of client’s risk; (2) review client’s existing records and gather further information, if it is found that or there is a circumstance where :- (a) there is a
repealed by this Notification shall be deemed to be registered as derivatives business operator under this Notification in the existing type of its registration and shall maintain the status of its juristic
the agricultural derivatives business license after 1 November 2016, the applicant shall demonstrate that its existing shareholding structure as of the issue date of the Cabinet’s resolution on the