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
, derivatives exchange, derivatives clearing house, regulatory association of derivatives business operators and prevention of unfair derivatives trading practices. Such power and duty shall include: (1) the
under the Derivatives Act B.E. 2546 (2003) . “ association ” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having
clearing house established under the Derivatives Act B.E. 2546 (2003) ; “ association ” means: (1) an association relating to a securities business, of which objectives is for promoting and developing
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
closed-end fund and open-end fund; “Registered person” means any person who is registered as a qualified fund supervisor; “Association” means any association relating to securities business, which has been
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
of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or