2009, the SEC Office hereby issues the following regulations: Clause 1 In this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of
in Paragraph 2, the SEC Office shall have the power to order registered derivatives business operator who cannot maintain the qualification specified in Clause 11, make correction, undertake, or
specified in Clause 11, make correction, undertake, or refrain from undertaking within the specified time. If any registered derivatives business operator fails to comply with the order, the SEC Office has
applicant shall be: (a) a commercial bank; (b) a securities company licensed to undertake the securities brokerage business that is not restricted to securities that are debt securities or investment units
) a person who had been licensed to undertake the derivatives business in the category of Futures broker under the Agricultural Futures Trading Act B.E. 2542 (1991) as of the date when the Cabinet
)1 a person who had been licensed to undertake the derivatives business in the category of Futures broker under the Agricultural Futures Trading Act B.E. 2542 (1991) as of the date when the Cabinet
licensed to undertake securities business in the category of underwriting, including any selling agent; (6) “ patron ’ means a person who patronises the issuer, for instance, clients, suppliers, employees of
public limited company; (4) “conglomerate company” means a parent company and a subsidiary company; (5) “underwriter” means a securities company licensed to undertake securities business in the category of