licensed to undertake the securities business in the category of securities brokerage or securities dealing or securities underwriting; (2) a person licensed to undertake the derivatives business in the
concerning Rules on Offering for Sale of Units of Foreign Collective Investment Schemes ; “ intermediary ” means: (1) a securities company licensed to undertake the securities business in the category of
Offering for Sale of Units of Foreign Collective Investment Schemes; “intermediary” means: (1) a securities company licensed to undertake the securities business in the category of securities brokerage
Exchange Act B.E. 2535 (1992) (SEA). 2 Local intermediary means an entity licensed to undertake securities business in the category of securities brokerage, including a securities company licensed to
shall be applicable to securities company licensed to undertake securities business in the category of securities brokerage providing investor with trading service for units of foreign collective
exemption by the Office. The provision under the first paragraph shall not apply to the executive of the securities company licensed to undertake securities business in the category of mutual fund management
Executives of Securities Companies (No.2) dated 23 November 2000. Clause 2. In this Notification: (1) “Securities company” means any company licensed to undertake securities business; (2) “Executive” means
Securities Companies (No.2) dated 23 November 2000. Clause 2. In this Notification: (1) “Securities company” means any company licensed to undertake securities business; (2) “Executive” means director, manager
“ derivatives broker ” means a person licensed to undertake derivative business in the category of derivatives brokerage, excluding a commercial bank under the law on financial institution business; (2) “ net