Wealth Asset Management Company Limited— as a company licensed securities brokerage, failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, there were
Business for Licensed Derivatives Brokers dated 3 August 2009; (18) The Notification of the Capital Market Supervisory Board No. Tor Thor. 2/2553 Re: Rules on Undertaking of Derivatives Business for Licensed
Notification: “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; “market maker” means any person registered as market maker with derivatives
, conditions and procedures as specified in the notification of the SEC; (8) engage in any other business which is not a licensed securities business, except when an approval has been granted by the SEC; Other
this English translation is strictly for reference. 3 Notification of the Securities and Exchange Commission No. Kor Thor. 66/2547 Re: Maintenance of Financial Position of Licensed Derivative Brokers
licensed securities business operators in the category of private fund management – professionals who possess the requisite knowledge and expertise and operate under the supervision of the SEC
as follows: (1) Waiving the operational fee for licensed securities companies for converting NVDR to common shares for Thai investors, on the condition that the licensees must also waive
through local licensed intermediaries in the host country must be authorized or approved for establishment and offering for sale to the public in the home country and must have the characteristics in
Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board recently approved revision of regulations on independent directors of licensed securities and derivatives business