wishes to maintain the approval status, such person must take a refresher course and pay the renewal fee every two-calendar year period at the amount of 1,000 baht in case of investment consultant
ordinary shares to any person or subscriber if such offer for sale or allocation will, or may result in: (a) a violation of any laws, rules or regulations of the Kingdom of Thailand or of any other countries
in foreign jurisdiction; 2 “executive” means a manager or the next four executives succeeding the manager, a person holding equivalent position to the fourth executive, including a person holding the
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. 45/2547 Re: Determination of Undertaking not Deemed as a Derivatives Dealer dated 8 October 2004 shall be repealed.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