purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
“derivatives broker” means a person licensed to undertake derivative business in the category of derivatives brokerage, excluding a commercial bank under the law on financial institution business; (2) “net
licensed to undertake derivative business in the category of derivatives brokerage, excluding a commercial bank under the law on financial institution business; (2) “net capital” means liquid capital
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 16. A derivatives business operator shall be a limited company or a public limited company, except for a derivatives advisor which may be an
maturity date within 1 year, unless such condition has been waived by the SEC Office; 2. financial lease contract which a securities company, as lessee, would be able to terminate the contract before the
unsecured which has the remaining the maturity period more than 1 year as from the calculating date, and has not determined the condition to repay before the maturity date within 1 year, unless such condition
Notification, unless otherwise stipulated by specific regulations in other Notifications concerning the disclosure regarding financial and non-financial information of the securities issuer, for instance: (1) a
offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an
its shares listed on the Stock Exchange of Thailand, being a Thai or foreign company, but excluding any foreign company that has all of the following characteristics: (1) having foreign stock exchange
following regulations: Clause 1. This Notification shall come into force as from 1 April 2000 except the provisions of Clause 5, Clause 6, Clause 7, Clause 15, and Clause 17 which shall come into force as