juristic person established under foreign law licensed to provide derivatives services under the law of such foreign countries and acceptable to the Office. Clause 2. The derivatives broker investing in

(UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any

Microsoft Word - torthor 2-51_en_final 2 (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference

or registration as securities business operator by foreign regulator, providing that ETF operator shall also appoint a contact person in Thailand for the purpose of coordinating and facilitating the

October 2018 and on 13 November 2018 (five business days in total). According to the investigation, it was discovered that, at the time of such wrongful acts, the four offenders, holding positions and

Business Operations in relation to Shareholders’ Meetings. 2 A person designated by the Board of Directors to proceed the registration of the amendments to the Articles of Association with the Department of

Central Securities Depositories dated 3 August 2016, the SEC Office hereby issues the following regulations: Clause 1 In this Notification: “parent company” means (1) a juristic person holding more than

Supervisory Board concerning Issuance and Offer for Sale of Trust Units by Infrastructure Trusts, as the case may be. "mutual fund manager" means a person who makes decisions to invest in or dispose of the

Related Party Transactions. “REIT manager” means a person who performs duties of REIT manager according to a trust instrument. “raising capital by general mandate” means raising capital of a REIT in

management company shall prepare the entitlement evidence of investment units for the unitholders to use as a reference with the management company and other persons. In this regard, an example of the