or prohibit establishment of additional branch offices. Clause 9. Where any management company has been provided services in the form of a service office permitted by the Office pursuant to the

that the maximum loss of a buyer of options is limited to the premium, he/she is to pay the premium but is not required to make margin deposit. On the other hand, the seller’s losses can be unlimited

need to resign; · require the documentation of all considerations and justification where firm chooses to safeguards against rather than eliminate a threat; · prohibit audit team members from making or

Thong-ek Law Offices Limited.. Owing to the fourth amendment of the Securities and Exchange Act which comes into force in B.E. 2551 (2008), the fifth amendment of the Securities and Exchange Act which

shall prohibit such personnel from providing services to clients regarding investment in capital market products denominated in foreign currency . Notified this 17th day of January 2017. (Mr. Rapee

the specified period, the intermediary shall prohibit such personnel from providing services to clients regarding investment in capital market products denominated in foreign currency . Notified this

BUSINESS SECTION 16. A derivatives business operator shall be a limited company or a public limited company, except for a derivatives advisor which may be an individual, and shall be allowed to undertake a

Section 90 Securities and Exchange Act B.E. 2535 Section 90. Securities business can be undertaken only by formation of either a limited company or a public limited company, or by a financial

and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By

Exchange Commission No. Kor Thor. 7/2539 Re: Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the