are reliably and trustworthy, the Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct
Commission Notification of the Securities and Exchange Commission No. Kor Thor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker _____________ By virtue of Section 9 and
Securities and Exchange Commission No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
derivatives business shall have paid-up registered capital of no less than the following amounts: (1) one hundred million baht for undertaking of derivatives business, which is not the undertaking of
upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
translation is strictly for reference. 6 Notification of the Capital Market Supervisory Board No. TorThor. 23/2553 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Dealers By
Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) in conjunction with Clause 2 of Ministerial Regulation concerning Granting Approval for Undertaking of
Notification of the Securities and Exchange Commission No. KorMor. 10/2559 Re: Determination of Fees for Undertaking Business According to Licenses ________________________ By virtue of Section 14(2) of the
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