Section 147 Securities and Exchange Act B.E. 2535 Section 147. During any two year period, if any securities company does not undertake securities business of the type so licensed in the volume as
temporarily suspending services as derivatives agent, closing a trading account, limiting positions or trading volume, closing out the positions or performing any other act relating to derivatives trading of
Gazette, General Issue, Volume 119, Special Section 32 Ngor, dated 4 April 2002.
[i] using historical price and trading volume of capital market product or historical market activity and [ii] forecasting future performance of securities and derivatives prices or market activity
risks and [ii] analyzing past and present performance so as to forecast future performance; “ technical analysis ” means an analysis by [i] using historical price and trading volume of capital market
Licensed Businesses, dated 30 December 2003, was published in the Government Gazette on 31 December 2003, Volume 120, Special Section 152Ngor. The Notification of the Securities and Exchange Commission No
to issue this notification in order to monitor and control the offshore investment volume of the securities companies.
and control the volume of such transactions made by derivatives broker.
licensee shall pay to the SEC Office a fee according to the obtained license at a rate varies based on business volume or at the fixed rates set out in this Notification. In the case where a licensee has