investment schemes established under the Act on Undertaking of Finance Business, Securities Business and Credit Foncier Businesses; (4) Credit foncier companies; (5) Insurance companies; (6) Juristic persons
Banks; (2) Financial companies; (3) Securities companies which purchase investment units for proprietary trading, managing for private funds, or for management of investment schemes established under the
follows: Clause 11 This Notification shall apply to the approval of foreign auditors whereby an auditor approved by the SEC Office under this Notification shall be allowed to perform an audit work and affix
) ………………………………………………………… Location of head office ……………………………………………………………… …………………………………………………………………..…………………… Telephone number …………………….. Facsimile number ……………………….. Part 2: Category of an applicant □ A commercial bank under the
□ A commercial bank under the law on commercial bank business(CB); □ A finance company under the law on undertaking of finance business, securities business and credit foncier business(FC,FSC); □ A
brokerage, dealing or underwriting of investment units; (2) “Derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker under the law on derivatives
derivatives broker under the law on derivatives; (3) “Commercial bank” means any commercial bank under the law on commercial banking and any juristic person established under foreign laws which is permitted by
, the definitions of the said terms shall be specified in Clause 2 or Clause 3, as the case may be. Clause 2. Institutional investors under Clause 1 shall refer to the following investors: (1) Bank of
promulgates regulations as follows: Clause 1 This Notification shall apply to- (1) For the purpose of governance under Chapter 3/1 of the Securities and Exchange Act B.E. 2535, foreign ETF established under law