/2011 2. Notification of Capital Market Supervisory Board TorThor 7/2551 Rules for Applying for Permission and Granting of Permission to Derivatives Brokers to Establish Branch Offices 02/04/2008 01/05
derivatives trading orders for several clients without sources of orders. From the recorded conversation, it was found that Napat contacted some persons and asked for permission to submit securities and
particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any
account the public comments gathered from the previous hearing whereby the calculation of the fees on Thai government bond dealing activities would be revised to reduce the burden on bond dealers and
management and limited brokerage, dealing and underwriting of investment units (LBDU) In revising the annual fee scheme, the SEC has taken into consideration intermediaries? existing cost factor and potential
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