Commission KorThor. 18/2549 Maintenance of Net Capital (Synopsis) 02/05/2006 16/05/2006 4. Notification of the Securities and Exchange Commission 18/05/1992 5. Notification of the Office of
) Clause 4(2) of the Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing Which Are Not Debt
and Securities Dealing Which Are Not Debt Instruments dated 26 September 2000 and Clause 25/1 of the Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and
undertake securities business in the following categories of: (l) Mutual fund management; (2) Private fund management; or (3) Securities brokerage, securities dealing or securities underwriting but not
dealing or securities underwriting but not including brokerage, dealing or underwriting of securities limited to debt securities or investment units. Clause 2. A securities company shall undertake trust
to operate any of the following types of securities businesses – namely (a) securities brokerage, dealing, or underwriting, regardless of the types of securities, or (b) securities brokerage
Bangkok, April 4, 2013 ? The Southern Bangkok Criminal Court sentenced Ravi Pattiyawongse to a two-year imprisonment for conducting unlicensed businesses of securities brokerage and dealing under the
/2005) (Synopsis) 10/06/2004 4. Notification of the Securities and Exchange Commission KorNor. 14/2543 Rules, Conditions and Procedures for Management of Private Funds (codified as of 23/04/2004