brokerage, securities finance, securities borrowing and lending, securities dealing or securities underwriting, which is not limited to debt instruments, exclude financial institutions established under

, securities finance, securities borrowing and lending, securities dealing or securities underwriting, which is not limited to debt instruments, exclude financial institutions established under specific laws or

established by the Stock Exchange of Thailand and holds shares not less than seventy five percent of total sold shares of such company, whereby such company obtains an approval from the SEC to undertake back

company established by the Stock Exchange of Thailand and holds shares not less than seventy five percent of total sold shares of such company, whereby such company obtains an approval from the SEC to

follows; (1) The Stock Exchange of Thailand; (2) Limited company or Limited public company established by the Stock Exchange of Thailand and holds shares not less than seventy five percent of total sold

continuity plan under Clause 6 covers events of disruption of service providers except where the securities company has established any arrangement to ensure that the relevant service provider is able to

providers, the securities company shall ensure that the business continuity plan under Clause 6 covers events of disruption of service providers except where the securities company has established any

established any arrangement to ensure that the relevant service provider is able to continue to provide the critical functions in such event of disruption. Clause 9. A securities company shall carry out the

, excluding a securities company which is a commercial bank under the law on financial institution business , life insurance company under the law on life insurance and financial institution established under

business2, life insurance company under the law on life insurance3 and financial institution established under other laws: 2the law on financial institution business means The Financial Institution Business