” means a securities business operator or a derivatives business operators, but not including a business operator which is a commercial bank under the law on financial institution, a life insurance company
who is assigned by the board of directors to be the highest level responsible for the management of the company regardless of whichever name is called; (3) “authorized management person” means a deputy
December 2008, the Office hereby issues the following regulations: Clause 1 A company wishing to offer for sale of newly issued share warrants and underlying shares to the public shall file with the Office
of China and Thailand (HK-TH MRF). “management company” means a securities company licensed to undertake securities business in the category of mutual fund management. “MoU” means the Memorandum of
] of the securities company . Clause 5 This Notification shall come into force as from 16 May 2006. Notified this 2nd day of May 2006. - signature- (Mr. Thanong Bidaya) Minister of Finance Chairman of
maturity date within 1 year, unless such condition has been waived by the SEC Office; 2. financial lease contract which a securities company, as lessee, would be able to terminate the contract before the
period for the purpose of considering the ability to maintain net capital [and net capital ratio] of the securities company. Clause 5 This Notification shall come into force as from 16 May 2006. Notified
Exchange Commission No. SorNor. 62/2543 Re: Rules, Conditions and Procedures for Advertising of Securities Company Business for Sales Promotion and Providing of Services Related to Mutual Fund and Private
information presented to them, the Office may order the securities company under Clause 18 to obtain prior approval for each advertisement. Notified this 6th day of February 2008. (Mr. Thirachai