. Notification of Capital Market Supervisory Board TorThor. 22/2553 Rules on the Undertaking Derivatives Business for Derivatives Broker and Dealer in the Category of Registered Type (Codefied) 01/06/2010
of the Securities and Exchange Commission Kor Thor. 11/2553 Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer (Codefied) 15/07/2010 01/08
/ 18-2 Application for Establishment of Branch Office or Conversion of Online Branch Office to Full Branch Office Securities company / derivatives intermediary Name of Company
: “ intermediary ” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company
, Deputy Secretary-General, in charge of Legal Development and Enforcement; 2. Mrs. Paralee Sukonthaman, Deputy Secretary-General, in charge of Intermediary and Market Supervision, Investment Management
borrowing and lending, and joint venture management. As a result, any intermediary wishing to operate only brokerage business, for example, would have to meet the high minimum paid-up capital rule despite its
fund scheme is not allowed. In addition, should past success of any trigger fund is part of an advertisment, the responsible intermediary must also disclose accurate and complete information on all
: Clause 1 In the case where an intermediary having outsourced the function which is investment management of mutual fund or provident fund or derivatives investment management to a foreign service provider
the case where an intermediary having outsourced the function which is investment management of mutual fund or provident fund or derivatives investment management to a foreign service provider who is