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
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 underwriting
Translation (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any