) 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
, securities financing, securities dealing or securities underwriting which is not limited to debt instruments, but not including any company licensed to undertake securities business in the category of
..) Liabilities 12. Borrowings 13. Securities sold under repurchase agreements 14. Payable to Clearing House 15. Securities business payable and derivatives business payables 16. Debentures and debt instruments 17
Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism _____________ By virtue of (1) Clause 4(2) of the Notification of the Securities and Exchange
of liabilities not exceeding the shareholders’ equity of the securities company ; (b) financing lease which is under the condition allowing for early termination of lease by the securities company as
1,000,000 per year; (2) Underwriting of debt securities, at the rate of Baht 1,000,000 per year; (3) Investment advisory service, at the rate of Baht 25,000 per year; (4) Securities financing, at the rate of
) dealing of debt securities 1,000,000 baht per year (2) underwriting of debt securities 1,000,000 baht per year (3) securities financing 500,000 baht per year (4) inter-dealer brokerage 50,000 baht per year
of the following licenses shall pay a fixed rafe fee: (1) securities financing 500,000 baht per year (2) inter-dealer brokerage 50,000 baht per year (3) venture capital fund management 50,000 baht per
underwriting, which is not limited to debt securities; (2) a securities company in the category of securities financing; (3) a securities company in the category of securities borrowing and lending; (4) a
other laws: (a) securities financing business; (b) brokerage, dealing or underwriting of any securities, which is not limited to debt securities or the units ; (c) brokerage, dealing, or underwriting