Notification: “Securities company” means a company licensed to undertake securities business in the category of securities brokerage, securities dealing and securities underwriting which is not limited to debt
) 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
management. Clause 4. Those licensed to operate the following businesses shall pay the annual fixed fees to the Office at the specified rates as follows: (1) Dealing of debt securities, at the rate of Baht
fee according to the obtained license at a fixed rate or a rate based on business volume, as the case may be, as specified in this Notification. The licensee shall pay only the fee for the license that
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
forthwith inform such necessity to the Office. A securities company may subtract the following money from the assets segregated as client’s asset under the first paragraph: (a) debt repayment paid prior to
requested would certainly affect provided services or advice to each client. Clause 8 An intermediary shall consider the ability of clients in part of investment, debt repayment and pledging collateral, and
company to manage a fund; “Repurchase agreement” means a sale of securities or debt instruments with an agreement to repurchase such securities or debt instruments on the date specified in the agreement
investment, debt repayment and pledging collateral, and confine a position limit for each client. In this regard, if there are other Notifications applicable to some intermediaries, which specifically
(e); (2) bonds having high-risk or complex characteristics including: (a) hybrid securities with debt repayment period longer than 270 days as from the date on which hybrid securities have been issued