in the category of inter-dealer brokerage; (3) a securities company in the category venture capital management; (4) a derivatives intermediary in the category of derivatives advisory; (5) a person
regulations: Clause 1 In this Notification: (1) “executive” means a manager or a person with power of management; (2) “manager” means any person who is authorized by the board of directors of the company to
derivatives exchange; “derivatives clearing house” means an entity licensed to operate business as a derivatives clearing house; “personnel in derivatives business” means: (1) a person who assumes a job for the
regulations: Clause 1. In this Notification: “derivatives broker” means a juristic person licensed to undertake derivatives business in the category of derivatives broker. Clause 2. The Notification of the
Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “derivatives broker” means a juristic person licensed to undertake derivatives business in the category of
professional principle. “appraisal company in capital market” means a juristic person having normal business purpose to value any asset and wish to contribute appraisal services for capital market transaction
. Clause 6. Prior to agreeing to provide selling agent service for units of foreign collective investment scheme, securities company shall arrange to have agreement in writing with person responsible for
... (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake
reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________ By virtue