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
other training institutes approved by the Office; “Unit-linked life insurance policy” means an insurance policy issued by life insurance company to the insured as evidence that the insured and the life
Institution , a life insurance company under the Law on Life Insurance , and a financial institution established under other laws: (1) securities financing business; (2) brokerage, dealing or underwriting of
service or derivatives advisory service; “ insurance ” means a professional indemnity insurance. Clause 3 This Notification shall not apply to the following intermediaries which are: (1) the following
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
securities brokerage or securities dealing, as follows: (a) a commercial bank; (b) a finance company; (c) a securities company ; (d) a credit foncier company; (e) an insurance company; (f) a juristic person
, the Ministry of Commerce; (3) the updated regulations of the founding securities companies certified by the Office of Partnership Registration, the Ministry of Commerce. Clause 2 Any trade association
securities dealing: (1) commercial banks; (2) financial companies; (3) securities companies; (4) credit foncier companies; (5) insurance companies; (6) juristic person established under the specific law other
or contracts. “ insurance ” means the professional indemtity insurance. Chapter 1 Calculation and Reporting of Maintenance of Capital Division 1 Liquid Assets and Insurance Used for Maintenance of
: ประกาศ COI และประกาศเกี่ยวกับการลงทุน เพื่อเป็นทรัพย์สินของผู้ประกอบธุรกิจ: ประกาศ Prop Trade ) ซึ่งได้มีการพิจารณาปรับปรุงแก้ไข ร่างประกาศในประเด็นอื่น ๆ เพิ่มเติมเพื่อให้มีความเหมาะสมยิ่งขึ้นด้วย