particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any
Securities Business in the Category of Mutual Fund Management _____________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992) and Section 96 of the Securities and Exchange Act B.E
Company _____________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No.4) B.E. 2551 (2008), and Section 96 of the Securities and
Concerning Granting of Approval for Undertaking Securities Business B.E. 2551 (2008) _________________ By virtue of Section 14 of the Securities and Exchange Act B.E 2535 (1992) as amended by the Securities
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
. KorNor. 22/2552 Re: Determination of Investment Management not being regarded as Securities Business in the Category of Private Fund Management _____________ By virtue of Section 4 and Section 14 of 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
) dated 29 June 2012. 2 Amended by the Notification of the Securities and Exchange Commission No. Kor Thor. 6/2555 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and
as amended by the Notification of the Securities and Exchange Commission No. KorThor. 25/2549 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker (No. 3) dated 25 October
undertaking of derivatives business in the category of derivatives investment advisory. By virtue of Section 14(4/1) of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and