, securities business, the Securities Exchange, over-the-counter centres, and related businesses, organizations related to securities business, issue or offer of securities for sale to the public, acquisition of

Securities and Exchange Commission; □ A limited company or a public limited company whose main principles are in the business of securities or financial instruments custody and of other businesses as approved

. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the general public as being ready to engage as an agent in the business of trading in derivatives

management of property funds. “Advertising” means communication made to the public regarding sales promotion of investment units, services or fund management operation, or services of brokerage, dealing or

dated 6 February 2008 shall be repealed. Clause 2. In this Notification: (1) “Advertising” means communication made to the public regarding sales promotion of investment units, services or fund management

units; (10) any other instruments as specified by the SEC. "bill" means any bill issued for raising funds from the public as specified in the notification of the SEC. "debenture" means any debt instrument

, the person shall submit an application for approval to the SEC Office together with accurate and complete evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering

accordance with the Licensing Manual for the Public: (1) offering innovative financial services that facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the

evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering innovative financial services that facilitate problem solving or develop services in the Thai capital market or

the stored things in respect of client ’s private data, and unrevealed or non-public information; (3) appointing a responsible person who has duty to undertake and be liable for arranging and keeping