, the Ministry of Commerce; (3) the updated regulations of the founding securities companies certified by the Office of Partnership Registration, the Ministry of Commerce. Clause 2 Any trade association
. The operation under Paragraph 1(1) may be proceeded through a derivatives business operator approved by the SEC or registered with the SEC Office or through a person granted an approval in accordance
). “derivatives business” means the undertaking to provide services as the following: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other
securities company as a source of contact for clients; and (4) complying with rules concerning analysis report translation specified by the bodies relating to securities business approved by the SEC office
Derivatives Act (No.2) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. In this Notification: “derivatives broker” means any company licensed to undertake derivatives business in the category
person who, in the ordinary course of business, holds himself out to the general public as being ready to engage as a counter party in a derivatives contract with any person who intends to trade in
business established under Thai or foreign law and possessing all of the following characteristics: (1) having the objective of joint investment among at least two accredited investors; (2) assigning any
entity established in any other forms as specified in the notification of the SEC. "securities company" means any company, or financial institution licensed to undertake securities business under this Act
Commission Notification of the Securities and Exchange Commission No. Kor Thor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker _____________ By virtue of Section 9 and
instruments and investment units; “Securities company” means a company licensed to undertake securities business in the category of securities brokerage or securities dealing excluding a person licensed to