). “derivatives business” means the undertaking to provide services as the following: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other
นหนวยลงทุน (Limited Broker Dealer Underwriter – LBDU) สํานักงานคณะกรรมการกํากับหลักทรัพยและตลาดหลักทรัพย (http://www.sec.or.th) อาคารจีพีเอฟ วิทยุ ช้ัน 10, 13-16 93/1 ถนนวิทยุ แขวงลุมพินี เขตปทุมวัน
investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities : One or a combination of the following activities: (1) Attending training courses or
approval for investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities: One or a combination of the following activities: (1) Attending training
combination of the following activities: (1) Attending training courses or seminars organized either by securities companies or training institutes accepted by the Office; (2) Being a speaker, lecturer, full
securities companies? efficiency where quality of personnel in securities business either investment consultants or back office staff, will be strengthened. For investment consultants, training on wealth
following cases: (1) those persons appointed by an intermediary in the following categories: (a) securities finance; (b) venture capital management; (c) securities borrowing and lending; (d) inter-dealer
redemptions of investment units; “Management company” means any securities company licensed to undertake securities business in the category of mutual fund management; “Training institute” means Thailand
the category of mutual fund management; “Training institute” means Thailand Securities Institute and other training institutes accepted by the Office; “Executive” means any director, manager and