prescribe required paid-up capital of a securities company as the SEC thinks fit. (There is no minimum amount of required capital specified in the provision.) 1.4 Conduct rules of securities business
and Exchange Act (No. 5) B.E. 2559”. SECTION 2. This Act shall come into force on the following date of its publication in the Government Gazette. SECTION 3. The following provision shall be added as
. SECTION 3 The following provision shall be added as Section 4/1 of the Securities and Exchange Act B.E. 2535: *Readers should be aware that only the original Thai text has legal force. The English
this Act contains certain provision relating to the restriction of rights and liberties of persons which Section 29, in conjunction with Section 41, Section 43 and Section 44 of the Constitution of the
the notification of the SEC. The provision of the first paragraph shall not apply to a derivatives advisor. SECTION 28. A derivatives business operator shall prepare and submit financial statements to
the notification of the SEC. The provision of the first paragraph shall not apply to a derivatives advisor. SECTION 28. A derivatives business operator shall prepare and submit financial statements to
exchange, outside the Securities Exchange or an over-the-counter center, of securities, for one's own account in the normal course of business. "investment advisory service" means giving advice in the normal
therefrom. "securities dealing" means a purchase, sale or exchange, outside the Securities Exchange or an over-the-counter center, of securities, for one's own account in the normal course of business
Office of the Securities and Exchange Commission, for the convenience of those not familiar with the written Thai language. Every effort has been made to convey the meaning and effect of each provision of
OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, FOR THE CONVENIENCE OF THOSE NOT FAMILIAR WITH THE WRITTEN THAI LANGUAGE. EVERY EFFORT HAS BEEN MADE TO CONVEY THE MEANING AND EFFECT OF EACH PROVISION OF