person who, in the ordinary course of business, holds himself out to the general public as being ready to engage as a counter party in a derivatives contract with any person who intends to trade in
debt securities or the units; (3) brokerage, dealing or underwriting of units which: (a) has investment in or possess securities for the investment of the company; (b) trade units listed on SET for
, family control business, turnover ratio 1. Introduction Funding is one of the main contributions for the success of the firm. One of the main objectives for the companies to go public is to create the
. 45/2547 Re: Determination of Undertaking not Deemed as a Derivatives Dealer dated 8 October 2004 shall be repealed. Clause 2. Person who offers to trade or trades in derivatives for his own account
, the Ministry of Commerce; (3) the updated regulations of the founding securities companies certified by the Office of Partnership Registration, the Ministry of Commerce. Clause 2 Any trade association
company shall keep the records of such transaction by using tape recorder or electronic data recording device. Clause 14. A securities company shall not trade in securities by using inside information in
company shall not trade in securities by using inside information in such a way as to take advantage of an outsider or disclose such information to be utilized by other persons. Division 2 Opening of the
of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or