the amount determined by the Derivatives Exchange and are unable to offset such excessive position as informed by their derivatives agents will be exposed to the similar foregoing risk. 3.4 Risk
any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents evidence as appropriate within the
Office refuses to grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents
shall comply with the regulations under Chapter 7; (8) capital market product trading service with limited discretion according to clients’ pre-determined investment scope shall comply with the
), as well as the AMLO’s issuance of the Counter-Terrorism Financing Act B.E. 2556 (2013) and subsequent rules with details pursuant to both Acts for application to intermediaries. The SEC Office hereby
capital market product not having complex characteristics as well as the product having high-risk or complex characteristics which could be categorized as follows: (a) complex instrument investment
related to properties in or outside the Kingdom including to accept donated properties; (2) borrow or lend money as well as make investment for profit; (3) determine the fees for filing registration
case my application is incomplete and the SEC Office has already informed such incompleteness by e-mail, it is deemed that I entirely assent to such informed incompleteness as well as the period of time
nature, size, and complexity of business of the company. Guidelines 1. There should be an organisational chart demonstrating units and lines of command for personnel in the organisation to be informed of
, as well as to supervise, matters concerning securities, securities businesses, the Securities Exchange, over-the-counter centers, and related businesses, organizations related to securities business