brokerage" means brokering or representing any person in the purchase, sale or exchange of securities in the normal course of business in consideration of a commission, fee or other remuneration therefrom

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

. 45/2547 Re: Determination of Undertaking not Deemed as a Derivatives Dealer dated 8 October 2004 shall be repealed. Clause 2. Person who offers to trade or trades in derivatives for his own account

/Nor/Khor. 85/2552 Re: Prohibited Characteristics of Personnel in Derivatives Business dated 3 August 2009. Clause 2 In this Notification: (1) “person with power of management” shall have the same

the capital market. Chapter 1 Application for Approval as Auditor in the Capital Market _____________________ Part 1 Filing of Application ______________________ Clause 7 Any person wishing to be an

this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; (2) “market maker of gold derivatives” means any person

the following regulations: Clause 1 In this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; (2) “market maker of

Exchange Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the

Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the audit firm

B.E. 2535 (1992) (SEA) and imparting the false statement with the intention to mislead any person concerning price sensitive information in contravention of Section 238 of the SEA and thus liable to