) all types of securities business license except the followings: (a) debt securities brokerage; (b) securities borrowing and lending business. (2)2 licenses for providing securities registrar services

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

..) 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

pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control

Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities That Are Not Debt Instruments dated 26 September 2000, and Clause 25/1 of the Notification of the

Office may grant a waiver for an intermediary from complying with any rule under this Notification regarding communication with and providing services to clients on a case-by-case or temporary basis. In

ตลาดหลักทรัพย์ C:\Users\lalidac\AppData\Local\Microsoft\Windows\Temporary Internet Files\Content.Outlook\UUHTEH5S\ประกาศวันหยุดเพิ่มเติม 11 สค 57.doc

จาตุศรีพิทักษ์) รัฐมนตรีว่าการกระทรวงการคลัง ประธานกรรมการ คณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ C:\Documents and Settings\orawanp\Local Settings\Temporary Internet Files\OLKC3\ร่างประกาศชื่อสถาบัน

ตลาดหลักทรัพย์ C:\Documents and Settings\urairat\Local Settings\Temporary Internet Files\OLK16E\ประกาศ ส เรื่องแบบคำขอ (ม 22ว 2)-final.doc

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