companies licensed to undertake the said businesses. In addition, the revisions will extend the scope of transactions subject to segregation to cover offshore securities trading service, brokering, dealing
) 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
1 ผลการรับฟังความคิดเห็นจากผู้ท่ีเกี่ยวข้อง (hearing) หลักการ เร่ือง การยกเว้นให้การเผยแพร่บทวิเคราะห์ ภายใต้ ACMF Professional Mobility Framework ไม่เข้าข่ายการเป็นท่ีปรึกษาการลงทุน 1. การรับฟังความ