Securities and Exchange Commission No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation
investment schemes established under the Act on Undertaking of Finance Business, Securities Business and Credit Foncier Businesses; (4) Credit foncier companies; (5) Insurance companies; (6) Juristic persons
derivatives business shall have paid-up registered capital of no less than the following amounts: (1) one hundred million baht for undertaking of derivatives business, which is not the undertaking of
upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
translation is strictly for reference. 6 Notification of the Capital Market Supervisory Board No. TorThor. 23/2553 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Dealers By
Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) in conjunction with Clause 2 of Ministerial Regulation concerning Granting Approval for Undertaking of
securities holders directly, not general risks on business undertaking or investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display
Notification of the Securities and Exchange Commission No. KorMor. 10/2559 Re: Determination of Fees for Undertaking Business According to Licenses ________________________ By virtue of Section 14(2) of the
Securities and Exchange Commission No. KorKhor.11/2547 Re: Characteristics of Advice Which Are Not Deemed as Undertaking Derivatives Business in the Category of Derivatives Advisory Services _____________ By
Exchange Commission No. Kor Thor. 13/2563 Re: Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment