securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an
notification of the SEC. “trade in derivatives” means to enter into a derivatives contract. “derivatives position” means an obligation or right of a person arising from derivatives trading. “close out a
strategy in case of leaving the regulatory sandbox upon or before expiration. (3) specifying a limited scope of operation to alleviate material impacts or damage on investors or the overall capital market
Rules, Conditions and Procedures for Securities Underwriting ; (2) “ offeror ” means the promoters of a public limited company, a company or owner of securities who have offered for sale of securities to
Vinaiphaet) Acting Secretary-General Office of the Securities and Exchange Commission. The ………………………… securities company limited Balance sheet As of (date) ………………………………….20.. and 20.. Assets (Unit:Baht
obtained more than one license, the licensee shall pay the total fees of all licenses together. In this regard, the payment obligation shall only apply to the licenses that have been activated. Clause 5 The
(writer) of options receives premium from a buyer and is bound to perform his obligation should the buyer exercise the options. The seller is required to make margin deposit. Upon the buyer’s exercise of
categories of bills of exchange, promisory notes, bonds and debentures but excluding structured notes and debenture imposing obligation on debenture holder. In case the remaining time to maturity of the debt
comply with such rules. In case those persons have breached the obligation under the first paragraph which cause the intermediary to breach or fail to comply with the rules under this Notification, the
Thong-ek Law Offices Limited.. Owing to the fourth amendment of the Securities and Exchange Act which comes into force in B.E. 2551 (2008), the fifth amendment of the Securities and Exchange Act which