or beneficiary of a collective investment scheme established under foreign law, either in the form of company, trust or others. Clause 3 This Notification shall apply to the licensees of the following
). However, such exemption shall apply to only one applicant for each management company and shall be terminated once such person no longer performs such duty or holds such position. Clause 4. Any applicant
the date of submission of the application, such applicant shall be exempt from such qualifications under (3) and (5). However, such exemption shall apply to only one applicant for each management
provisions of the first paragraph shall not apply to the assets or persons as follows: (1) client’s assets which is a mutual fund, private fund or other similar funds managed by a securities company, acting as
. Clause 7/1. A securities company shall be a member of Thai Bond Market Association. The provision under the first paragraph shall not apply to the case where securities company cease the business as debt
Market Association. The provision under the first paragraph shall not apply to the case where securities company cease the business as debt securities dealing or cease to execute debt securities dealing
immediately confirm the securities trading with its counter trader. Clause 7/1.8 A securities company shall be a member of Thai Bond Market Association. The provision under the first paragraph shall not apply
pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control