Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as
November 2008. Clause 2 The following notifications shall be repealed: (1) The Notification of the Securities and Exchange Commission No. KorNor. 8/2547 Re: Licensing Derivatives Business Operator in the
Commission No. KorThor. 7/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer By virtue of Section 6, Section 9 and the third paragraph of
Commission No. KorNor. 8/2547 Re: Licensing Derivatives Business Operator in the Category of Derivatives Fund Manager dated 23 January 2004; (2) Notification of the Securities and Exchange Commission No
Section 113 Securities and Exchange Act B.E. 2535 Section 113. In operating the business of securities brokerage in the Securities Exchange for listed securities, a securities company shall operate
in any derivatives business only with institutional investors shall register with the SEC Office, unless it engages in the derivatives fund management business for a mutual fund under the Securities
, conditions and procedures as specified in the notification of the SEC; (8) engage in any other business which is not a licensed securities business, except when an approval has been granted by the SEC; Other
. Notification of the Securities and Exchange Commission No. Kor Thor. 11/2553 Re: Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer _____________ By virtue
Section 116 Securities and Exchange Act B.E. 2535 Section 116. In operating the business of securities underwriting, a securities company shall comply with the rules, conditions and procedures as
Section 115 Securities and Exchange Act B.E. 2535 Section 115. In operating the business of investment advisory service, a securities company shall comply with the rules, conditions and procedures as