which are debt instruments; (2) “ securities company ” means a company licensed to undertake securities business in the category of securities dealing; (3) “ counterparty ” means a person who trades
instruments; (2) “securities company” means a company licensed to undertake securities business in the category of securities dealing; (3) “counterparty” means a person who trades securities with a securities
Certain Types of Securities Business Operator and Derivatives Business Operator. 25,000 baht per year In the case where the remaining period up to the end of the first calendar year of the licensed business
In the case where the remaining period up to the end of the first calendar year of the licensed business operation is shorter than six months, the licensee shall pay 50 percent of the relevant fee as
securities company licensed to operate the securities business of securities brokerage, securities dealing or underwriting which is not limited to certain types of securities; (3) a financial institution
, having obtained an approval [for establishment] from the Securities and Exchange Commission. “ mutual fund management company ” means a securities company licensed to undertake securities business in
), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification, “investment advisory company” means a securities company licensed to undertake securities
” means a securities company licensed to undertake securities business in the category of securities underwriting; (5) “executive” means a manager or an employee holding the position of departmental manager
licensed to undertake securities business in the category of securities underwriting; (5) “executive” means a manager or an employee holding the position of departmental manager or higher who is responsible