Concerning Granting of Approval for Undertaking Securities Business B.E.2551 (2008) __________________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities

... TRANSLATED VERSION As of November 21, 2008 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference Notification of the

Concerning Granting of Approval for Undertaking Securities Business B.E. 2551 (2008) _________________ By virtue of Section 14 of the Securities and Exchange Act B.E 2535 (1992) as amended by the Securities

by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) stipulates that no securities companies shall engage in any other business which is not a licensed securities business, except when an

(2003) as amended by the Derivatives Act (No. 2) B.E. 2551 (2008) which contains certain provisions in relation to the restriction of rights and liberty of persons which Section 29, in conjunction with

/2551 Re: Rules, Conditions, and Procedures for Establishment of Risk Management System for Business Continuity of Securities Companies dated 28 April 2008 issued by virtue of the Securities and Exchange

Commission Notification of the Securities and Exchange Commission No. SorThor. 26/2550 Re: Securities Companies and Derivatives Business Operators’ Holidays for B.E. 2551 (2008) _____________ By virtue of

from 16 April 2008. Notified this 2nd day of April 2008. (Mr.Surapong Suebwonglee) Minister of Finance Chairman of the Securities and Exchange Commission Remarks: The reason for issuing this Notification

undertaking derivatives business. Clause 2. This Notification shall come into force as from 1 December 2008. Notified this 5th day of November 2008. (Vijit Supinit) Chairman The Securities and Exchange

(2008) _____________ Whereas Section 100 of the Securities and Exchange Act B.E. 2535 (1992) provides that the appointment of any person to be an agent or broker of a securities company shall require