following regulations: Clause 1. In this Notification: “Mutual Fund Management Company” means a securities company licensed to undertake securities business in the category of mutual fund management; “Private
virtue of Clause 27/1 of the Notification of the Securities and Exchange Commission No. KorThor. 65/2547 Re: rules for Undertaking Derivatives Business for Licensed Derivatives Broker Dated 22 December
Notification of the Securities and Exchange Commission No. KorThor. 65/2547 Re: rules for Undertaking Derivatives Business for Licensed Derivatives Broker Dated 22 December 2004, as amended by Notification of
By virtue of Clause 27/1 of the Notification of the Securities and Exchange Commission No. KorThor. 65/2547 Re: rules for Undertaking Derivatives Business for Licensed Derivatives Broker Dated 22
by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) stipulates that no securities companies shall engage in any other business which is not a licensed securities business, except when an
by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) stipulates that no securities companies shall engage in any other business which is not a licensed securities business, except when an
licensed securities business, except when an approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and
licensed as derivatives dealer in order to support issuance of license to operate derivatives business in the category of derivatives dealer.
Custody of Customer Assets of Licensed Derivatives Broker 22/12/2004 16/01/2005 Contact The Securities and Exchange Commission, Thailand 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak Bangkok 10900
supervising securities businesses; 3. The SEC Office implementing policies, inspecting licensed/approved corporations and individuals, and developing financial products. Meanwhile, the Audit Committee