particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any

allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept

. ------------------------------- 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 Instruments By virtue of

hundred million baht for: a. securities dealing business; b. securities underwriting business; c. any other type of securities business with the following characteristics: 1. keeping the client’s assets in

Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as

Institution , a life insurance company under the Law on Life Insurance , and a financial institution established under other laws: (1) securities financing business; (2) brokerage, dealing or underwriting of

Exchange Commission No. KorThor. 43/2543 Re: Rules, Conditions and Procedures for Dealing of Debt Securities By virtue of Section 14 and Section 114 of the Securities and Exchange Act B.E. 2535 (1992), the

) 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

undertake securities business in the following categories of: (l) Mutual fund management; (2) Private fund management; or (3) Securities brokerage, securities dealing or securities underwriting but not

reference. Notification of the Capital Market Supervisory Board No. TorThor. 63/2552 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments or Investment