individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
institution established in accordance with other laws, and after having obtained a license from the Minister upon the recommendation of the SEC. The formation of a limited company or of a public limited company
Sor-1, the application fee under Clause 14(2) shall be waived if the applicant is one of the following legal entities: (1) A securities company having obtained a securities business license type A; (2
: Clause 1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting
business license type A or derivatives business license type Sor-1 . Clause 171 In case of application for derivatives business license type Sor-1 , if the applicant has obtained derivatives business license
) demonstrating that it will have availability of personnel for business of precious metal derivatives brokerage . Chapter 2 Submitting Application and Fees _________________ Clause 5 An applicant shall submit an
metal derivatives brokerage ; (9) demonstrating that it will have availability of personnel for business of precious metal derivatives brokerage . Chapter 2 Submitting Application and Fees
disclose the name of person obtained an approval for renewal in the Office’s electronic work system within thirty days as from the date the Office receives complete application together with supplemental
the Office or no longer works for the securities company which has submitted the application for approval in case the investor contact has obtained approval through such qualifications. Chapter 4
Securities and Exchange Act B.E. 2535 (1992) , the Securities and Exchange Commission hereby issues the following regulations: Clause 1 The founding securities companies shall submit an application for the