securities and derivatives business operators of all types, as follows: - broker, dealer and underwriter of investment units - broker of debt securities - dealer of debt securities - underwriter of debt

following characteristic: (1) An offer for sale to the investors under Clause 21(1), in cases where the Thailand Securities Depository, custodian, securities broker, securities dealer or any person holds

Clause 47(1), if the Thailand Securities Depository, custodian, securities broker, securities dealer or any person holds debt securities on behalf of other persons, the number of investors shall be counted

private placement under Clause 46(1), in cases where the Thailand Securities Depository, custodian, securities broker, securities dealer or any person holds the debt securities on behalf of other persons

acting for direct or indirect compensation to solicit the municipality on behalf of an unaffiliated broker, dealer, municipal securities dealer, municipal advisor, or investment adviser for the purpose of

Thailand Securities Depository, custodian, securities broker, securities dealer or any person holds bonds on behalf of other persons, the number of investors under Paragraph 1 shall be counted based on the

SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2014ANNUAL REPORT 2014 CONTACT INFORMATION This report can be downloaded from www.sec.or.th For more information about this report, please contact: SECURITIES AND EXCHANGE COMMISSION, THAILAND 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok, Thailand 10900 Tel. 1207 or +66 2695 9999 e-mail: info@sec.or.th This 2014 Annual Report is about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai...