transactions are unnecessarily complex; (7) the client places both buy and sell orders in proximate prices and time, which may be deemed that he intends to match the trades (matched order) without any

which are debt instruments; (2) “ securities company ” means a company licensed to undertake securities business in the category of securities dealing; (3) “ counterparty ” means a person who trades

for trades xxx xxx xxx xxx 1.2 Securities available for sales xxx xxx xxx xxx 1.3 General investment xxx xxx xxx xxx 1.4 Held-to-maturity securities xxx xxx xxx xxx Total xxx xxx xxx xxx Plus (subtract

that it deals appropriately with: (a) complaints and allegations that the work performed by the firm fails to comply with professional standards and regulatory and legal requirements; and (b) allegations

as specified in the Securities and Exchange Act B.E.2535 (1992) , the Trust for Transactions in Capital Market Act B.E. 2550 (2007), and the Notification of the SEC Office regarding Approval of

allowed for derivatives trading under Clause 8 and Clause 9 shall maintain its qualifications according to Clause 6 at all times when such derivatives broker trades derivatives for its proprietary account

-office supporting function for instance, the structure of unit which deals with customer or submitting trading orders (front-office function) should be clearly separated from the unit which has duties in

Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction

prevention and management of conflicts of interest to be in the same manner with respect to the following matters: (1) Excessive Transactions for Clients shall be in accordance with Chapter 1; (2) Additional

exchange, as the case may be. “ clearing house ” means a clearing house for transactions related to derivatives, or a clearing house for transactions related to securities, as the case may be. “ person with