. The applicant under Paragraph 1 shall have the following characteristics: (1) being a limited company, public company limited, commercial bank, securities trading center, or juristic person established
case of providing services as a secondary market for trading of shares or debentures of limited companies or public limited companies which offer securities for sale through a crowdfunding portal which
invested or held equity instruments issued by PTT Public Company Limited : (1) mutual fund excluding ETF; (2) provident fund. Clause 2. In case where the Stock Exchange of Thailand issues a temporary trading
general public as being ready to engage as an agent in the business of trading in derivatives with others, and has been licensed or registered under this Act, excluding those derivatives brokers with the
, securities business, the Securities Exchange, over-the-counter centres, and related businesses, organizations related to securities business, issue or offer of securities for sale to the public, acquisition of
derivatives agent” means the person who contacts, solicits or gives advices regarding trading in derivatives or analysis of value or properness of trading in derivatives products or underlying products for
, the person shall submit an application for approval to the SEC Office together with accurate and complete evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering
) certificates representing the rights to purchase investment units; (10) any other instruments as specified by the SEC. "bill" means any bill issued for raising funds from the public as specified in the
) “ insider information ” means a material fact which would affect the price of a securities and has not been disclosed to the public, and has become known to a securities company during the course of the
emergency matters whereby procedures and responsible persons should be clearly prescribed; (3) Having staffs with approvals from the Office to contact, solicit or advise clients on derivatives trading, and to