company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment
which are debt instruments; (2) “ securities company ” means a company licensed to undertake securities business in the category of securities dealing; (3) “ counterparty ” means a person who trades
instruments; (2) “securities company” means a company licensed to undertake securities business in the category of securities dealing; (3) “counterparty” means a person who trades securities with a securities
Certain Types of Securities Business Operator and Derivatives Business Operator. 25,000 baht per year In the case where the remaining period up to the end of the first calendar year of the licensed business
In the case where the remaining period up to the end of the first calendar year of the licensed business operation is shorter than six months, the licensee shall pay 50 percent of the relevant fee as
In the case where the remaining period up to the end of the first calendar year of the licensed business operation is shorter than six months, the licensee shall pay 50 percent of the relevant fee as
complicated than plain debt securities as it is a combination of debt securities and derivatives. An investment in the structured notes involves in a few risk factors such as underlying risk, credit risk of
securities company licensed to operate the securities business of securities brokerage, securities dealing or underwriting which is not limited to certain types of securities; (3) a financial institution
with others, and has been licensed or registered under this Act, excluding those derivatives brokers with the characteristics as specified in the notification of the SEC. “derivatives dealer” means any
with others, and has been licensed or registered under this Act, excluding those derivatives brokers with the characteristics as specified in the notification of the SEC. “derivatives dealer” means any