category of securities brokerage, securities dealing, investment advisory services, securities underwriting, but shall not include a financial institution under other law and later obtain a license to
, securities underwriting, but shall not include a financial institution under other law and later obtain a license to undertake securities business; “Full-service Branch Office” means a securities company’s
. In this Notification, “Derivatives broker” means any company licensed to undertake derivatives business in the category of derivatives broker, but shall not include a financial institution under other
include a financial institution under other law and later obtain a license to undertake derivatives business; “Full-service Branch Office” means a derivatives broker’s branch office in Thailand that
Notification of the Office of Securities and Exchange Commission No. Sor Thor/Nor. 45/2559 Re: Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of
(6) as amended by the Notification of the Office of the Securities and Exchange Commission No. KorNor. 1/2550 Re: Rules, Conditions and Procedures for Establishment and Management of Funds (No. 4
) in conjunction with Clause 18 (6) as amended by the Notification of the Office of the Securities and Exchange Commission No. KorNor. 1/2550 Re: Rules, Conditions and Procedures for Establishment and
(“Company”) would like to report that the Board of Directors Meeting No. 4/2018 dated on November 14, 2018 passed the resolution of the investment in another company by establishment of the company named All