debt securities or the units; (3) brokerage, dealing or underwriting of units which: (a) has investment in or possess securities for the investment of the company; (b) trade units listed on SET for
of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or
fund, private fund or derivatives investment management. “investment management assistant” means a person who performs the duty of assisting decision making to invest or trade capital market product and
company shall keep the records of such transaction by using tape recorder or electronic data recording device. Clause 14. A securities company shall not trade in securities by using inside information in
company shall not trade in securities by using inside information in such a way as to take advantage of an outsider or disclose such information to be utilized by other persons. Division 2 Opening of the
. 45/2547 Re: Determination of Undertaking not Deemed as a Derivatives Dealer dated 8 October 2004 shall be repealed. Clause 2. Person who offers to trade or trades in derivatives for his own account
, the Ministry of Commerce; (3) the updated regulations of the founding securities companies certified by the Office of Partnership Registration, the Ministry of Commerce. Clause 2 Any trade association
: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities