, the Ministry of Commerce; (3) the updated regulations of the founding securities companies certified by the Office of Partnership Registration, the Ministry of Commerce. Clause 2 Any trade association
). “derivatives business” means the undertaking to provide services as the following: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other
derivatives trade which shall at least contain the rule on financial stability and position, as well as the conduct of business, and there shall be specified the concerned provisions of law or rule, and the
to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a
an equity of the balance interest of the invested business, such as share capital, investment units of mutual fund, share capital warrant and share capital purchasing right etc.. The company shall
Commission Notification of the Securities and Exchange Commission No. Kor Thor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker _____________ By virtue of Section 9 and
entity established in any other forms as specified in the notification of the SEC. "securities company" means any company, or financial institution licensed to undertake securities business under this Act
business established under Thai or foreign law and possessing all of the following characteristics: (1) having the objective of joint investment among at least two accredited investors; (2) assigning any
: ประกาศ COI และประกาศเกี่ยวกับการลงทุน เพื่อเป็นทรัพย์สินของผู้ประกอบธุรกิจ: ประกาศ Prop Trade ) ซึ่งได้มีการพิจารณาปรับปรุงแก้ไข ร่างประกาศในประเด็นอื่น ๆ เพิ่มเติมเพื่อให้มีความเหมาะสมยิ่งขึ้นด้วย
clearly determined and tangible e.g. fund performance, management company’s performance, market share, etc. The long-term plan should demonstrate the direction of the business and the future plan such as