Office hereby issues the following regulations: Clause 1 In this Notification: “derivatives broker” means a person licensed to undertake derivatives business in the category of derivatives brokerage
custody of customers’ assets. (b) Undertaking derivatives business in the category of derivatives fund manager providing services for general investors. (4) ten million baht for undertaking derivatives
dated January 18, 2012 which was the 3rd category prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board
the capital market. The project will raise awareness and understanding among local business owners about raising funds through the capital market which will support business expansion, increase in
category 5, regarding to provide financial assistance for an amount of Baht 19.89 million. The transaction volume of over Baht 1 million but less than 20 million, or more than 0.03% but less than 3% of NTA
securities business in the category of mutual fund management; “Private fund management company” means any securities company licensed to undertake securities business in the category of private fund
securities company licensed to undertake securities business in the category of mutual fund management; “Private fund management company” means any securities company licensed to undertake securities business
. 16/2551 Re: Granting of Approval for Undertaking Derivatives Business in the Category of Derivatives Broker Limited to Gold Derivatives _____________ By virtue of Section 9 and the third paragraph of
sales of the company, while the company still has improved on the inventory cost management as well as sales mix management in each product category efficiently, and strictly controlled on the selling and