daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
private fund management company [unless indicated otherwise], including: (a) a securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting of any
company [unless indicated otherwise], including: (a) a securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting of any securities and; (b) a
Commission No. KorThor/Nor/Khor. 14/2551 Re: Approval for Undertaking of Derivatives Business By virtue of Section 9 and the third paragraph of Section 16 of the Derivatives Act B.E. 2546 (2003) which contains
Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
reference. 10 Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 14/2551 Re: Approval for Undertaking of Derivatives Business ___________________ By virtue of Section 9 and Paragraph
The Derivatives Act The Derivatives Act B.E. 2546 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
Commission No. KorThor. 7/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer By virtue of Section 6, Section 9 and the third paragraph of
Notification of the Securities and Exchange Commission No. KorKhor. 10/2551 Re: Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation