exchange, outside the Securities Exchange or an over-the-counter center, of securities, for one's own account in the normal course of business. "investment advisory service" means giving advice in the normal
therefrom. "securities dealing" means a purchase, sale or exchange, outside the Securities Exchange or an over-the-counter center, of securities, for one's own account in the normal course of business
” means any center or network through which derivatives trading is provided in the ordinary course of business, whether by way of matching orders or arranging for counter parties, or by way of providing a
” means any center or network through which derivatives trading is provided in the ordinary course of business, whether by way of matching orders or arranging for counter parties, or by way of providing a
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type of securities license granted. 4.3 Using of scripless system by depository center for all types of securities and throughout the whole process • Licensed depository center can provide service
Microsoft Word - SEA-ÃÒ©ºÑº 6-3-51.doc (Unofficial Translation)* Securities and Exchange Act (No. 4) B.E. 2551 _________________ BHU BHUMIBOL ADULYADEJ, REX., Given on the day of 23rd February B.E. 2551 Being the 63rd Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to amend the law on securities and exchange; Whereas this Act contains certain provision relating to the restriction of rights and liberties of persons wh...
Practices ______________________ SECTION 238 The provisions under this Division shall apply to listed securities and securities traded in the over-the-counter center. SECTION 239 In this Division: “executive
(ฉบบัปรับปรุง) กิจกรรมปฏิรูปที ๔ กำรเป็นศูนย์กลำงด้ำนกำรค้ำและกำรลงทุนของไทยในภูมิภำค (Regional Trading/Investment Center) ในส่วนที ๒ กิจกรรมปฏิรูปทีจะส่งผลให้เกิดกำรเปลียนแปลง ต่อประชำชนอย่ำงมีนัยสำคญั
เท่าเทียมกนัในการประกอบธุรกิจ (มี level playing field) และเพิ่มทางเลือก ใหแ้ก่ผูใ้ชบ้ริการ 6. การจัดตั้งกองทุนส่งเสริมการพฒันาตลาดทุน (“กองทุน CMDF”) 6.1 ผลกระทบเชิงบวก/ผู้ได้รับผลกระทบเชิงบวก (1) ตลาด