management. Clause 4. Those licensed to operate the following businesses shall pay the annual fixed fees to the Office at the specified rates as follows: (1) Dealing of debt securities, at the rate of Baht

technical competence in fast-changing areas? 3 How do partners deal with meeting various different targets e.g. clients / new work gained, fee income, recovery rates, debt recovery (including timeliness

issue date. Clause 7 The application fee and the license for establishment shall be according to the following rates: (1) the application fee for the establishment of an association related to securities

as securities registrar; (6) diagram of the organizational structure of the work unit which will be responsible for providing services as securities registrar; (7) rates of fees and methods of fee

Institution Act B.E. 2551 (2008). The Law on Loan Interest of Financial Institutions means the Interest Rates on Loans from Financial Institution Act B.E. 2523 (1980).

and volume of transactions. The Thailand Futures Exchange Plc and the Office of the Securities and Exchange Commission prescribe no regulation on commission rates. 3.3 Risk of Liquidating Position and

licensee shall pay to the SEC Office a fee according to the obtained license at a rate varies based on business volume or at the fixed rates set out in this Notification. In the case where a licensee has

behalf of the customers; “Financial institution” means any financial institution under the laws governing loan interest rates of financial institutions; “Office” means the Office of the Securities and

derivatives whose underlying products are debt securities or variables are interest rates or any other variables as prescribed by the Office; (4) “applicant” means a person applying for derivatives business

-securities derivatives and derivatives advisory service; (3) “ debt securities derivatives ” means derivatives whose underlying products are debt securities or variables are interest rates or any other