under (f) refers to a person or a partnership specified under section 258 (1) to (7) of the Securities and Exchange Act (g) Change of line of business or the objective of the company (h) Amendment of the
of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply effectively with
service or back office service; “Securities company” means any company licensed to undertake securities business in the category of securities broker according to the Securities and Exchange Act B.E. 2535
company” means any company licensed to undertake securities business in the category of securities broker according to the Securities and Exchange Act B.E. 2535 (1992); “Commercial Bank” means commercial
shares of such company, whereby such company obtains an approval from the SEC to undertake back office service as specified in Section 153 (3) of the Securities Exchange Act B.E. 2535 (1992). Derivatives
e-service Online Submission Investment Advisory >> Type Title Section See document Status Notified Date Effective Date 1. Ministerial regulations 31/01/2002 2. Ministerial regulations 5/2539
e-service Online Submission Business Operation Rules >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission 3/2548 17
e-service Online Submission Executives of securities companies and personnel in securities business >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the