brokerage outside the Securities Exchange for any securities, a securities company shall operate and collect fees or service charges in accordance with the procedures as specified in the notification of the
related to properties in or outside the Kingdom including to accept donated properties; (2) borrow or lend money as well as make investment for profit; (3) determine the fees for filing registration
of the Securities and Exchange Commission No. SorNor. 5/2550 Re: Establishment of a Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours
other party who is obliged to make payment for such goods at a given time in the future according to the amount and price as specified in the contract which is entered into outside the derivatives
purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) ( (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Se...
high-risk or complex characteristics outside the offices of intermediaries shall comply with the regulations under Chapter 7. Clause 4 In cases where there is a necessary and reasonable ground, the SEC
appointed working group. The BCP as such should be kept at place of business, either inside or outside. The BCP shall cover all critical business functions of companies, including a critical operational
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
. "securities dealing" means a purchase, sale of exchange, outside the Securities Exchange or an over-the-counter centre, of securities, for one's own account in the normal course of business. "investment