Section 147 Securities and Exchange Act B.E. 2535 Section 147. During any two year period, if any securities company does not undertake securities business of the type so licensed in the volume as

licensees of the following licenses shall pay a fee at a rate varies based on business volume. In any case, the amount to be paid shall not be less than the minimum rate specified in Clause 6: (1) securities

according to rules prescribed herein, whichever amount is higher. Clause 17 Any licensee who has not paid the total fee or the remaining fee based on business volume under the Notification of the Securities

with short position) are required to make an initial margin deposit with their futures agent to secure their performance under futures contracts. Since the amount of initial margin is small compared to

details: (1) date of receipt or payment of the assets; (2) amount and category of the assets; (3) the cause of receipt or payment of the assets. In case where the assets under the client’s account belong to

under the KYC/CDD process; (4) the account is re-activated by a large size of transaction after being inactive for some time; (5) significant amount in terms of size/volume is transacted, which is

of Section 6; (3) surcharges pursuant to the third paragraph of Section 10; (4) donated assets; (5) assets derived from investments or interests incurred from assets of the fund; (6) the whole amount

Gazette, General Issue, Volume 119, Special Section 32 Ngor, dated 4 April 2002.

the result of the sale to the Office. In cases where an offering is made through an underwriter, the promoters of a public limited company, a company or owner of securities shall report the amount of

temporarily suspending services as derivatives agent, closing a trading account, limiting positions or trading volume, closing out the positions or performing any other act relating to derivatives trading of