, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in
. In the case where a management company has determined a policy or a guideline for setting up the price or the rate for entering into a transaction with a connected person , and such policy or guideline
statements, registration and any other application; (4) accept fees as specified in the ministerial regulations or as determined by the SEC and the Office. Provided that it shall be solely for the benefit of
liabilities; 1. subordinated liabilities being unsecured which has the remaining the maturity period more than 1 year as from the calculating date, and has not determined the condition to repay before the
” 3 means a fund established for employees of multiple employers. “wages” means the money paid by the employer to the employee as remuneration for working, whether determined, calculated or paid as the
of whatever name excluding bills, divided into units, each with equal value and a predetermined rate of return, issued by any company to a lender or purchaser, representing the right of the holder of
the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company. (2
Section 103 PAGE 2 Securities and Exchange Act B.E. 2535 Section 103. No securities company shall appoint or allow any person with any of the following prohibited characteristics to be or to perform
redemption under a firm quotation price or at a minimum price pre-determined on the issue date of such bonds by a securities company which has been appointed as the selling or redemption agent of such bonds
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a