including brokerage, dealing or underwriting of securities limited to debt securities or investment units. Clause 2. A securities company shall undertake trust business upon obtaining a license to undertake
business upon obtaining a license to undertake trust business under the Trust for Transactions in Capital Market Act B.E. 2550 (2008). The Office hereby notifies the Capital Market Supervisory Board’s
characteristics and may be subject to legal proceedings under the law governing derivatives and notifications issued by virtue of the said law. Clause 4 Other than upon the grounds of lack of qualifications or
Kingdom of Thailand so permit by virtue of law, the Securities and Exchange Commission, upon approval of the Cabinet, hereby issues the following regulations: Clause 1. Licensee to undertake business of
securities dealing, securities underwriting, or other securities businesses as specified in the notification of the SEC; or (b) those acquired upon a permission from the Office and in accordance with the rules
://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-deri.doc EDITED not entitled upon the employees whose memberships have been terminated, and are determined by the fund’s articles to be an asset of
effective upon proper submission of the Form to the SEC Office. We acknowledge that the application for cancellation via this Form shall be submitted to the SEC Office according to the methods and procedures
country's economic growth.“As an inquiry official in high-impact cases, the SEC would have the authority to conduct investigations and, upon completing the case file, would submit the case along with our