approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and Exchange Commission, acting as the Capital
million baht from the date of the shareholding structure in which one or several existing shareholders hold combined shares less than twenty-five percent of the company’s shares eligible for voting rights
scope of service provision which is inappropriate with the current situation where the securities business under the category of mutual fund management and private fund management are expanding and highly
rate of Baht 50,000 per year; (8) Securities brokerage, securities dealing or securities underwriting of investment units of any particular type or several types, at the rate of Baht 10,000 per year. In
derivatives brokerage business shall be a limited company or pubic limited company which is newly established to obtain the license for such business and in which one or several gold business operators
: (1) Customer type, whether an institutional or retail investor, and also indicate where a customer placing orders for several persons or through series of accounts in undisclosed manner (omnibus
refrain from expanding, to suspend, or to rectify its business operation pursuant to section 141, section 142 or section 143 of the Securities and Exchange Act B.E. 2535 (1992); (6) the management company
placing orders for several persons or through series of accounts in an undisclosed manner (omnibus account); (2) derivatives position limit of customer at any time; (3) derivatives position of customer that
. Several claimants sharing a like claim against the respondent on the common grounds of laws and facts against the respondent may jointly file the dispute to the Office, provided that each claimant seeks
several liquid assets under Paragraph 1(1) to (7), provided that in case of investement in the liquid assets under Paragraph 1(2) (4) or (5), such liquid assets shall have the credit rating in accordance