under the law governing trade associations having characteristics and objectives similar to those of an association related to securities business and wishing to become an association related to
relating to securities business or derivatives business which is announced by associations or organizations relating to securities business or derivatives business recognized by the SEC Office, or [ii] a
Exchange Commission Re: Determination of Other Regulations of Associations related to Securities Business ____________________ By virtue of Section 14 and Section 234(7) of the Securities and Exchange Act
Office or the organizations recognized by the SEC Office and [iii] have scope of duties, as specified in the Tables of Qualifications of Personnel in the Capital Market and Tables of Category of
, 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
Associations, which are approved by the Office; (8) “Office” means the Office of the Securities and Exchange Commission. Clause 3. This Notification shall not be applied to those financial
กำกับ ดูแลด้านหลักทรัพย์และตลาดซื้อขายหลักทรัพย์ที่เป็นสมาชิกสามัญของ International Organizations of Securities Commission (IOSCO) (2.2) ในกรณีที่เป็นการลงทุนหรือมีไว้เพื่อเป็นทรัพย์สินของกองทุนรวมเพื่อ
characteristics and shall comply with the Notifications of the Associations approved by the SEC Office: (1) supervising the trading of capital market products by the employees, both for the investment of the
responsibility of the organizations concerning derivatives business showing the separation between organizations and personnel whose responsibility or nature of work may cause conflict of interest (b) a guideline
Organizations of Securities Commission (IOSCO) หรือที่มีการซื้อขายในตลาดซื้อขายหลักทรัพย์ต่างประเทศที่เป็นสมาชิกของ World Federations of Exchange (WFE) ซึ่งผู้ลงทุนสามารถเข้าถึงข้อมูลเกี่ยวกับหุ้นดังกล่าวเป็น