3; “fee” means a fee for undertaking business according to license; “income” means an income before deducting expenditures from undertaking business according to license; “investment unit”4 means the
, and whose unit holders are all institutional investors in accordance with the definition of “ institutional investor ” in the Notification of the Office of the Securities and Exchange Commission No. Sor
to the date on which this Notification comes into force, and whose unit holders are all institutional investors in accordance with the definition of “institutional investor” in the Notification of the
case, the SEC Office may prescribe other requirements for compliance by the securities company . Clause 8 A securities company shall establish a compliance unit and an internal control unit which meet
in Paragraph 1. In such case, the SEC Office may prescribe other requirements for compliance by the securities company. Clause 8 A securities company shall establish a compliance unit and an internal
criteria prescribed by the Association of Thai Securities Companies and approved by the SEC Office. Clause 7 The derivatives broker shall set up a compliance unit in which acceptable and reliable standards
compliance unit in which acceptable and reliable standards are adopted. The compliance unit shall be independent to monitor the operation of the derivatives broker. Clause 8 The derivatives broker shall put in