service with the same service provider and the same scope of service and shall be required to comply with the notification of the office which was repealed by Clause 1. Clause 12. This notification shall
and Exchange Act, then a license from the SEC is required under the first paragraph. The application for a license or registration, the issuance of a license or the acceptance for registration shall be
the date on which it has received the required information in full. The accepted courses will be published in the website of the Office. If the organizer fails to file the information in advance or
rates as specified in paragraph one hereof. Clause 5. The following securities companies which are required to pay fees at the rates as specified under Clause 3 shall be exempt from payment of such fees
of interest. In the case where an executive holds a position required to work on a full-time basis, the executive shall take such position at only one securities company. Clause 3. In applying for
for the benefit of the operation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 31. The provisions of this Division shall apply to derivatives agent licensed under Section 16. The SEC may, if appropriate, promulgate the
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate