the register through the qualifications under the second paragraph of Clause 6; Chapter 3 Transitional Provisions ______________________ Clause 14. A person having been granted approval to be listed on
Transitional Provisions and Effective Date of this Notifications _________________ Clause 9 It shall be deemed that derivatives broker limited to gold derivatives who was legally undertaking business under the
Commission may revoke its license thereof. Chapter 4 Transitional Provisions and Effective Date of this Notifications _________________ Clause 9 It shall be deemed that derivatives broker limited to gold
derivatives business operator. Chapter 3 Transitional Provision _____________ Clause 13 A derivatives business operator was registered under the Notification of the Securities and Exchange Commission which are
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
manager of foreign capital market regulator accepted by the Office. Chapter 4 Transitional Provisions ______________________ Clause 16. A person approved to be a fund manager prior to the date of 1 January
information or advice to clients in a seminar, the requirements on giving investment advice at seminars shall be complied with as well. Chapter 5 Transitional Provisions Clause 19 The personnel in the capital
; (5) in the case of giving information or advice to clients in a seminar, the requirements on giving investment advice at seminars shall be complied with as well. Chapter 5 Transitional Provisions
facilitate customer to use service from other derivatives broker. Transitional Provisions ________________ Clause 17. In case where derivatives broker has established the full-service branch office or online
of conformity to this Notification, the transitional provisions shall be applied, as specified in details in Chapter 8. Division 4 Powers of the SEC Office _____________________________ Clause 5 For