Securities and Exchange Commission No. KorKhor.11/2547 Re: Characteristics of Advice Which Are Not Deemed as Undertaking Derivatives Business in the Category of Derivatives Advisory Services _____________ By
experience in investment by providing a community web board or a channel for investment analysts to give advice shall not be liable to presenting oneself to the general public as being ready to give services
persons, for example, seeking or exploiting any benefit for oneself, securities companies or other persons by virtue of own position or committing a fraud in an examination. Division 2 Effects of Possessing
Derivatives Intermediaries ______________________ By virtue of Section 98(6) of the Securities and Exchange Act B.E. 2535 (1992) and Clause 5(1), in conjunction with Clause 12(3) and (12), Clause 14, Clause 30
the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His
to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.
Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office
Capital Market Supervisory Board No. TorKhor. 4/2551 Re: Rules for Undertaking Derivatives Business for Registered Derivatives Advisors _____________ By virtue of Section 18 of the Derivatives Act B.E. 2546
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the