Section 147 Securities and Exchange Act B.E. 2535 Section 147. During any two year period, if any securities company does not undertake securities business of the type so licensed in the volume as

Gazette, General Issue, Volume 119, Special Section 32 Ngor, dated 4 April 2002.

Licensed Businesses, dated 30 December 2003, was published in the Government Gazette on 31 December 2003, Volume 120, Special Section 152Ngor. The Notification of the Securities and Exchange Commission No

to issue this notification in order to monitor and control the offshore investment volume of the securities companies.

and control the volume of such transactions made by derivatives broker.

agent)         รวม       หมายเหตุ การมีส่วนร่วมในการกำหนดราคา หมายถึง การมีส่วนร่วมในการกำหนดราคาเสนอขายหลักทรัพย์ เช่นมีส่วนร่วมในการกำหนดกรอบราคา หรือ กำหนดช่วงราคาเพื่อทำ Book Building เป็นต้น แก้ไขจาก

Marketing Representatives of Private Funds dated 5 January 2005, published in the Government Gazette, Book 122, Special Section 5 Ngor, dated 17 January 2005 The Notification of the Securities and Exchange

paragraph of Section 59 or Section 60; (3) obstructs or fails to give assistance to a beneficiary who inspects book of trust property under Section 47. SECTION 71 In cases where a trustee commits an offence

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

fee according to the obtained license at a fixed rate or a rate based on business volume, as the case may be, as specified in this Notification. The licensee shall pay only the fee for the license that