. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, license fees
prescribing a policy for prevention and management of conflicts of interest in accordance with Clause 17 of the Notification on Standard Conduct of Business , an intermediary shall include therein excessive
securities for business take-overs, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of rules, regulation, notifications, orders, or directions under this Act
of an intermediary ’s service and shall include fund , unitholder or member of the provident fund; “ fund ” means a mutual fund, private fund and provident fund; “ central utility function ” means a
) “ general liabilities ” means total liabilities deducted by qualified liabilities . (5) “ total liabilities ” means (a) all of liabilities shown in the financial statement but not include the following
and derivatives business operators located in Narathiwat, Pattani, Yala, Satun and Songkhla provinces shall include Chinese New Year as well as Hari Raya Puasa (Aidilfitri Day) and Hari Raya Haji as
derivative broker shall have paid-up registered capital of not less than one hundred million baht. The person granted a license under the first paragraph shall not include the person granted a license to
business under the first paragraph does not include the lending of money for purchasing, selling or exchanging securities in the course of securities brokerage or securities dealing business or the purchase
issued shares; (2) a company relating to the intermediary by having control between each other; (3) a company and the intermediary have mutual control by any person. “ control ” means control as determined
: “ intermediary ” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company