UNOFFICIAL TRANSLATION Codified up to No. 6 As of 12 April 2019 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 2 13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives Intermediaries ______________________ By virtue of Section 98(6) of the Securities and Exc...
securities business, having obtained an approval to establish and having registered [such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of
securities business, having obtained an approval to establish and having registered [such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of
. · ชื่อทรัพย์สิน ในกรณีที่เป็นตราสารที่ไม่ได้ขึ้นทะเบียน หรือจดทะเบียน (Non-SET, Non-Registered) เช่น ตั๋วแลกเงิน หรือ ตั๋วสัญญาใช้เงิน ให้แสดงชื่อตราสารเป็นชื่อเต็ม ภาษาไทยเป็นหลัก แต่ถ้ายาวจะใช้ชื่อย่อ
interbank and money market assets. Capital Reserves and Capital Adequacy Ratio Under the principles of Basel III, the Bank of Thailand requires commercial banks registered in Thailand and members of their
which does not qualified as a brownfield project; “association”3 means an association related to securities business which is licensed by and registered with the SEC Office with the objective to promote
... CHIANGMAI RIMDOI PUBLIC COMPANY LIMITED CHIN SENG HUAT AUTO PARTS COMPANY LIMI... CHINA YES FASHION (THAILAND) PUBLIC CO... CHINDA DISPENSARY REGISTERED ORDINARY ... CHO THAVEE PUBLIC COMPANY LIMITED CHOK
provision: “SECTION 96 The SEC may require a securities company to have a paid-up registered capital in an amount specified for operation of securities business in any particular category or manner.” SECTION
issuing company; (c) action not agreed upon or decided by oneself but assigned to an approved or registered person under the law on management of capital or investment to make a securities trading decision
ธุรกรรมของผู้จดทะเบียนผู้ค้าสัญญาซ้ือขายล่วงหน้า 68 (Transaction reporting for registered derivative dealers) Header Record 68 Detail Record : (1) มูลค่าการซ้ือขายสัญญาซ้ือขายล่วงหน้านอกตลาด (Notional