Office; “margin account” means an account which keep records of loans to customers for the purpose of purchasing securities or the loan of securities to customers in order to complete sales; “Stock
trust issued by foreign ETF . “ underlying shares of ETF ” means shares which are registered as listed securities in the Stock Exchange of Thailand or foreign exchange, as the case may be, which are in a
Law on Derivatives ; (17) derivatives business operator under the Law on Agricultural Futures Trading; (18) international financial institution; (19) Deposit Protection Agency; (20) Stock Exchange of
limited to units which: 1. has securities portfolio; 2. provides services of trading investment units , registered as listed securities, for clients through a member of SET . (9/1) “ SET ” means the Stock
brokerage licensee shall pay the fee according to the following criteria: (1) the license fee for members of the Stock Exchange who undertakes securities brokerage business on the Stock Exchange shall be at
of the SEC Office (if any) and/or the conditions for the Stock Exchange of Thailand’s acceptance of securities (if any), including the compliance with such obligations or conditions in the following
Nitisiri) Chairman The Securities and Exchange Commission
force from 16 April 2002. Notified this 28th day of March 2002. - Signature - (Mr. Somkid Jatusripituk) Minister of Finance Chairman of the Securities and Exchange Commission Published in the Government
Notification shall come into force on the following day of its publication in the Government Gazette. Notified this 13rd day of July 1996. Mr. Bodee Junnanon Chairman Securities and Exchange Commission
shall come into force as from 16 October 2004. Notified this 8th day of October 2004. Somkid Jatusripitak (Mr.Somkid Jatusripitak) Minister of finance Chairman of the Securities and Exchange Commission