nature of deceit or dishonesty or irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for
December 2015 with a remaining valid term; (b) derivatives under (a) are not renewed after 16 December 2015. Clause 3 This Notification shall come into force from 6 January 2004. Notified this 23rd day of
สำหรับ กรณีที่เอกสารการขึ้นทะเบียนของ regulator ต่างประเทศไม่แสดงสถานะ valid ในวันที่ยื่นคำขอ ความเห็นชอบ เนื่องจากการลาออกจากต้นสังกัดในต่างประเทศ ให้ผู้ประกอบธุรกิจที่เป็นต้นสังกัด หรือตัวบุคลากรเองมี
operator of the outcome of the application for approval under Clause 2 (1) (a) within thirty days from the date of receipt of the valid and completed documents, except in case it is necessary to examine
may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than three years relating to gold; (4) Being
shall consider the application and notify the derivatives business operator of the outcome of its consideration within sixty days from the date of receipt of such application together with all valid and
instruments issued by PTT Public Company Limited . In order to protect the investors’ interest and legitimate right and ensure that they are treated fairly, it is therefore necessary to issue this Notification.
certificates representing the rights to purchase debentures issued in accordance with Section 33 shall be valid upon delivery of such securities with the endorsement of transfer by a person having his name as
under a specific law; (2) being able to show that a work unit responsible for providing services as securities registrar will be established separately from other work units; (3) being able to show that
position; (6) Fees charged on the derivatives transaction. Clause 4. Derivatives broker must show in the evidence of margin call at least the information as set out under Clause 3(1) and (3) as well as the