broker or an agent to effectuate trading in debt securities between dealers in normal course of business, the service of which is carried out by collecting information on offer for sale or purchase of such
whether such service provider is borrower's or lender's counter party of agent. Undertaking securities borrowing and lending business under the first paragraph shall, however, not include the followings
to other operator ( s ). Audit Committees of Securities Companies Securities companies with custody services for clients' assets: an audit committee with a minimum of two members is
such inside information; (4) Director, sub-committee member, representative of a juristic person, agent, worker, employee, advisor or operator in a governmental agency, the SEC Office, the Securities
such inside information; (4) Director, sub-committee member, representative of a juristic person, agent, worker, employee, advisor or operator in a governmental agency, the SEC Office, the Securities
as the Assets in which the Provident Fund may invest or have in Possession (Repealed) Appointment of the Settlement Committee under the Provident Fund Act B.E. 2530(Repealed) Appointment of the
within 45 days as from the end of each quarter. - The audited annual financial statement shall be submitted within 3 months as from the end of the accounting period. Note: The symbol ** means either review
date on which such person is released from punishment passed by the judgment, the Settlement Committee orders such person to pay fine, or the authorities empowered to supervise and consider such person's
step ensures that the measure to be taken is appropriate, practical and respectful to stakeholders’ rights 6. The proposed rule is considered by the relevant sub-committee The sub-committee members
/ Registration • Brokerage о Securities Brokerage о Derivatives Agent о Guidelineon the commencement for operation of securities / derivatives business • Dealer о