business in the category of securities brokerage, securities dealing, securities underwriting or mutual fund management, excluding the financial institution established under other law and licensed to
period except for those of similar activities. 2. Further education 2.1 Certified Investment and Securities Analyst (CISA) or the Chartered Financial Analyst (CFA) course (at least Level 1) during the past
precious metal trading firm who has appropriate qualifications and readiness in financial status and administration to undertake derivatives business in the category of derivatives broker limited to precious
: The Rationale for issuing this Notification is to permit precious metal trading firm who has appropriate qualifications and readiness in financial status and administration to undertake derivatives
) “Department director” means any person who is responsible for the internal operation of a department in the company; (6) “Work experience” means work experience in a financial institution or other organization
court for an offence relating to property committed with dishonest intent: O yes O no 6.3 Having been a director, manager or person with managing power of a financial institution whose license has been
.: (a) Various securities activities or related activities such as derivatives market, securities borrowing and lending; (b) New types of securities or related financial instruments such as derivatives
; “State agency” means central administration, regional administration, local administration, financial institutions development fund, Bureau of Crown Property and other agency as specified by the Office
law on commercial banking or law on business of financial; (6) “ securities company ” means any securities company under the law governing securities and exchange; (7) “ company ” means a limited
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