) “Training Institute” means training institutes accepted by the Office; (Translation) -2- Chapter 1 Scope of the Applicability ____________________ Clause 3. This Notification shall not apply to the
derivatives exchange [OTC derivatives], the derivatives broker shall provide such services to Institutional investors only, in which case the provision of Clause 17 and Clause 19 shall not apply. In providing
exchange [OTC derivatives], the derivatives broker shall provide such services to Institutional investors only, in which case the provision of Clause 17 and Clause 19 shall not apply. In providing the
Being REIT Manager __________________ Division 1 Applying for obtaining an approval _____________ Clause 4 The following companies can apply for obtaining an approval of being a REIT manager [from the SEC
job title; (5) “Training Institute” means training institutes accepted by the Office; Chapter 1 Scope of the Applicability ____________________ Clause 3 . This Notification shall not apply to the
shall apply to the approval of auditors of businesses in the capital market. In this regard, the auditors approved by the SEC Office under this Notification shall be allowed to perform audit work and
first paragraph of Clause 13/1. In this regard, the provisions under (1) and (2) of the first paragraph of Clause 13/1, as the case may be, shall not apply to such person again. (3) taking advantage of
in accordance with the rules and procedures prescribed by the Office. The provisions under the first paragraph shall not apply to the investment advisory company licensed to operate other type of
Regulation shall apply to application for license and issuance of securities business licenses as follows: (1) Type A securities business license: (ก); (2) Type B securities business license: (ข); (3) Type C