Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
B.E. 2535 (1992) , the Securities and Exchange Commission hereby issues the following regulations: Clause 1 An association related to securities business shall have other regulations concerning the
or investment units; (2) a person licensed to undertake derivatives business in the category of derivatives broker; “ securities company association ” means an association relating to securities
derivatives (contract), derivatives business, derivatives exchange, derivatives clearing house, regulatory association of derivatives business operators and prevention of unfair derivatives trading practices
Supervision Department Tel: 0-2263-6071 Fax: 0-2263-6332 Encl: Guidelines for renewal of approval for investor contacts Cc: Chairman, Association of Securities Companies; Chairman, Association of Investment
, crude oil, or any other property as specified in the notification of the SEC with the approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index
” means any person who is authorized by the derivatives fund manager to make an investment decision to acquire benefits from derivatives for others; “Association” means any derivatives fund management
the Law on Securities and Exchange. “ goods ” means securities , gold , crude oil and other goods as prescribed under the Notification of the Securities and Exchange Commission Re: Determining
Cc: Chairman, Association of Securities Companies; Chairman, Association of Investment Management Companies; Chairman, Securities Analysts Association; Chairman, The Thai Life Assurance Association