upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
, conditions and procedures as specified in the notification of the SEC upon the recommendation of the Bank of Thailand.
the Law on Securities and Exchange. “ goods ” means securities , gold , crude oil and other goods as prescribed under the Notification of the Securities and Exchange Commission Re: Determining
specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.
of derivatives broker; “derivatives contract” means a derivatives contract under Section 3 of the Derivatives Act B.E. 2546 (2003) having securities, gold, crude oil, currencies, exchange rate
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 3. In this Act: “goods” means securities, gold, crude oil, or any other property as specified in the notification of the SEC with the
institution established in accordance with other laws, and after having obtained a license from the Minister upon the recommendation of the SEC. The formation of a limited company or of a public limited company
, crude oil, or any other property as specified in the notification of the SEC with the approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index
) securities underwriting; (5) mutual fund management; (6) private fund management; (7) other businesses relating to securities as specified by the Minister upon the recommendation of the SEC. "securities
investors to examine or for submission to the Office upon request. Clause 4. The mutual fund management company shall arrange to have a statement in the summary prospectus under warnings and recommendation