In this Notification: "derivatives dealer" means a person holding a license to undertake a derivatives business in the category of derivatives dealer; "institutional investor" means an institutional
carry out the supervision on behalf of such person together with the following documents (1) Documents showing shareholding structure of companies in the financial conglomerate; (2) Documents showing
any company that maybe delegated to carry out the supervision on behalf of such person together with the following documents (1) Documents showing shareholding structure of companies in the financial
Supervisory Board pursuant to Section 6 of the Derivatives Act (No.2) B.E. 2551 (2008) hereby issues the following regulations; Clause 1. In this Notification, (1) “derivatives business operator” means any
): .................................................................................................................................................................................... Wish to apply for Company Account from the SEC Office in the following manners: Not an urgent application (normal case) An urgent application (a 30-day expiry from the SEC Office’s approval date
Bangkok, November 30, 2011 - Following the investigation on {X1} Co., Ltd. in response to the evidences indicated that the company had operated unlicensed derivatives business, the SEC found that
Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification, “investment advisory company” means a securities
) and Paragraph 1 of Section 89, in conjunction with Section 73 of the Derivatives Act B.E. 2546 (2003), the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 This
person appointed by the management company to act as a mutual fund manager and it appears later that the information specified in Form 117-6 has changed, the management company shall prepare and submit a