be exempted from being regarded as derivatives business in the following categories during the period of such regulatory sandbox, but only within the units or departments providing services under
rate of Baht 50,000 per year; (8) Securities brokerage, securities dealing or securities underwriting of investment units of any particular type or several types, at the rate of Baht 10,000 per year. In
Baht 50,000 per year; (8)1 2 Securities brokerage, securities dealing or securities underwriting of investment units of any particular type or several types, at the rate of Baht 10,000 per year. In the
/2547 Re: Rules, Conditions and Procedures for Brokerage, Dealing and Underwriting of Investment Units dated 3 August 2004. The Office of the Securities and Exchange Commission hereby issues the following
Clause 9 of the Notification of the Securities and Exchange Commission No. KorKhor. 42/2547 Re: Rules, Conditions and Procedures for Brokerage, Dealing and Underwriting of Investment Units dated 3 August
of Investment Units dated 3 August 2004; the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Securities company” means any
and Underwriting of Investment Units dated 3 August 2004; the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Securities
) Being able to show that it has established effective policy and measures for prevention of conflicts of interest, improper access to inside information among work units and personnel (Chinese Wall