dealer” means (1) licensee to operate securities business in category of securities dealing; (2) licensee to operate securities business in category of securities dealing under foreign law ; (3) the Bank
securities and derivatives mean acting as a market or trading center, which in brief means a place where investors can trade securities or derivatives. Any persons who wish to operate a business as a secondary
securities and derivatives mean acting as a market or trading center, which in brief means a place where investors can trade securities or derivatives. Any persons who wish to operate a business as a secondary
Person intending to apply for operate securities business license in the category of mutual fund management shall be limited company or public limited company which is newly established for operating
: (1) being a counter party to licensee to operate securities business in the category of securities borrowing and lending or securities depositary center, if such arrangement is made for such counter
in form specified in the SEC’s Notification as published in the Government Gazette. Clause 11 The licensee to operate securities business in the category of private fund management shall commence
as available) + RM's opinions/analyses on the guarantor's ability in fulfilling the contractual agreements. Facilitation of benefits Apart from leasing* real estate, REITs are prohibited to operate
in form specified in the SEC’s Notification as published in the Government Gazette. Clause 11 The licensee to operate securities business in the category of private fund management shall commence
% or NC ≤ 1 million baht Restricts business operation, and must file a 90 - day correction plan with the SEC within 30 days . In case the operator ( a ) fails to submit such plan ( b ) fails to operate
; (6) not be company that fails to operate on date and in time specified without the SEC Office’s approval under Section 110 of the Securities and Exchange Act B.E. 2535 when the application is filed