account, and shall trade derivatives contract through off-exchange with a counterparty which is a financial institution or a foreign financial institution or through derivatives exchange only when obtains
counter party in a derivatives contract with any person who intends to trade in derivatives, by entering or offering to enter into such contract, and has been licensed or registered under this Act
agreement with accrued interests; (3) promisory notes and bill of exchange issued by financial institution under the Law on Loan Interest of Financial Institution ; (4) investments in securities, derivatives
to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.
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
granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance
investor/ institutional investor/financial institution etc. ) ……………………………………………………… □ type of transaction (OTC /on exchange etc.) ………………………………………………….. □ type of derivatives contract (futures/options
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
intends to extend the due date by rolling over or extend the period of the deposit, such asset may be classified as a long-term deposit at a financial institution or an investment (as the case may be
promoting and supervising the derivatives intermediary, having obtained an approval [for establishment] from the Securiites and Exchange Commission. “ financial institution ” means a financial institution