following characteristics: (1) being debt instruments registered with the Thai Bond Market Association; (2) in case of payment of return on such liquid assets, the return shall be either in the form of fixed
Exchange Commission No. KorThor. 43/2543 Re: Rules, Conditions and Procedures for Dealing of Debt Securities By virtue of Section 14 and Section 114 of the Securities and Exchange Act B.E. 2535 (1992), the
Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Securities company” means a company licensed to
undertake trust business under the following rules and conditions: Clause 1. In this Notification: “Securities company” means a company which obtains a license under the law on securities and exchange to
Dealing Which is Not Limited to Debt Instruments or Investment Units dated 3 August 2009, and Clause 6, Paragraph 1 of Clause 8 and Clause 33 of the Notification of the Capital Market Supervisory Board No
purpose of standardizing the operating control of brokerage and dealing of securities that are not debt instruments, the SEC Office hereby issues the following preliminary common guidelines for securities
undertake securities dealing that is limited only to debt instruments. “institutional client” means the following persons who undertakes transactions with a securities company in securities brokerage or
securities to the SEC Office within [the following] specified period by indicating the following details: (1) 15 days as from the end of each month having the offer for sale of debt securities. In connection
which is limited to debt securities shall pay the fixed-rated fee of 1,000,000 baht per year. Clause 14 A licensee undertaking the following businesses shall pay the fixed-rate fees as follows: (1
Exchange Commission hereby issues the following regulations: Clause 1. The following notifications shall be repealed: (1) The Notification of the Securities and Exchange Commission No. KorNor. 40/2543 Re