business in the category of securities brokerage, securities dealing, securities underwriting or mutual fund management, excluding the financial institution established under other law and licensed to

Securities and Exchange Commission concerning Determination of Additional Types of Juristic Person Classified as Institutional Investor . Chapter 1 Registration _____________ Division 1 Types of Juristic

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 31. The provisions of this Division shall apply to derivatives agent licensed under Section 16. The SEC may, if appropriate, promulgate the

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate

financial institution established under a specific law and treated as a financial institution under the Law on Loan Interest of Financial Institutions ; (3) Islamic Bank of Thailand; “ obligor ” means a

Additional Rules for Proprietary Trading of Securities Companies __________________________ Division 1 Rules on Investment _______________ Clause 7 An operating system supervising the proprietary trading of a

securities business in the category of private fund management; (6) “ gold ETF ” means a gold ETF established under the Notification of the Office of the Securities and Exchange Commission concerning

category of private fund management; (6) “ gold ETF ” means a gold ETF established under the Notification of the Office of the Securities and Exchange Commission concerning Establishment of Mutual Funds and

) governmental financial institution established under a specific law. Division 1 Prohibited Characteristics Clause 28 Personnel in the capital market business shall not possess the following prohibited

the Stock Exchange of Thailand; “ derivatives exchange ” means the derivatives exchange established under the Derivatives Act B.E. 2546 (2003) ; “ derivatives clearing house ” means the derivatives