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
1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting
Commission Re: Guidelines for Application and Approval for Appointment of Person to be Director or Manager of Securities Company B.E. 2553 (2010) _________ Whereas the first paragraph of Section 104 of the
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
derivatives brokerage; (9) demonstrating that it will have availability of personnel for business of precious metal derivatives brokerage. Chapter 2 Submitting Application and Fees _________________ Clause 5 An