Commission No. SorThor. 19/2552 Re: Report on Trading of Securities and Derivatives in Foreign Countries of Derivatives Broker _____________ By virtue of Section 14 and Section 19 of the Derivatives Act B.E
No. Nor Por. 4/2561 Re: Countries Recognized by the SEC Office concerning Supervisory Measures on Investment Management __________________ Whereas the Notification of the Capital Market Supervisory
qualification as specified in Clause 4 and notify the details of the upgrade to the Office in advance with the format set out in an electronic system of the Office. Chapter 2 Branch Office in Foreign Countries
Office prior to the upgrade with the format set out in an electronic system of the Office. Chapter 2 Branch Office in Foreign Countries --------------------------- Clause 11. The derivatives broker wishing
, economic and political risk as well as regional risk of the countries in which they have invested. Since the aforesaid risks may affect the financial status of the securities company, it is deemed necessary
remaining period of approval as category B investor contact. Clause 9. Any person who intends to perform duty as investor contact specifically in foreign countries shall be deemed to be an investor contact
during any period of twelve months without performing any acts deemed to be presentation of oneself as derivatives adviser; (2) giving advice from the Kingdom of Thailand to investors in foreign countries
investment scheme units ” means the units of a foreign collective investment scheme established in ASEAN countries (ASEAN Collective Investment Scheme), which may be offered for sale in Thailand under the
of such foreign countries; “institutional investor” means institutional investor under Section 3 of the Derivatives Act B.E. 2546 (2003) and the Notification of the Securities and Exchange Commission
shall not apply to the securities company’s branch office in foreign countries. Clause 3. The securities company shall open within the hours, and close on the days as follows: (1) in case of providing