this regard, in case the management company has assigned the juristic person to provide consultation or make a plan relating to investment units [to investors], such person shall have its personnel to
company. In this regard, in case the management company has assigned the juristic person to provide consultation or make a plan relating to investment units [to investors], such person shall have its
the trading of capital market products by the employees, both for the investment of the employees’ accounts or the accounts for which the employees are authorized to make an investment; (2) being able
exercise its discretion or make decision in the operation for the intermediary; “end user” means the employees of the intermediary and contractors who engage in the operation and has access to the sensitive
. 16/2553 Re: Determination of Fees for Undertaking Business According to Licenses dated 1 December 2010 shall make the payment according to rules and timeframe prescribed in such Notification until the
Licenses dated 1 December 2010 shall make the payment according to rules and timeframe prescribed in such Notification until the fees are completely paid in full. Clause 19/13 A licensee under Paragraph 1(1
fund management; “ big retail investor ” means a person who will make an initial minimum subscription of 500,000 baht for investment units of a mutual fund; “ fund manager ” means a mutual fund manager
securities business in the category of private fund management; “big retail investor” means a person who will make an initial minimum subscription of 500,000 baht for investment units of a mutual fund; “fund