Exchange Commission hereby issues the following regulations: Clause 1. In this notification: “Derivatives fund manager” means any person licensed or registers to undertake derivatives business in the
Act (No.4) B.E. 2551 (2008) hereby issues the following regulations; Clause 1. In this Notification, (1) “securities company” means any company licensed to undertake securities business; (2) “executive
company licensed to undertake derivatives business; (2) “executive” means manager or person with power of management; (2/1) 1 “manager” means any person assigned by the board of directors of the company to
e-service Online Submission Licensed Derivatives Broker Licensed Derivatives Broker | Registered Derivatives Broker | License to Undertake Derivatives Business in the Category of Derivatives Broker
securities companies licensed to undertake securities business in the category of mutual fund management All securities companies licensed to undertake securities business in the category of securities
Securities Companies President of the Association of Investment Management Companies Managers All securities companies All securities companies licensed to undertake securities business in the category of
private fund management company [unless indicated otherwise], including: (a) a securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting of any
fund management company [unless indicated otherwise], including: (a) a securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting of any securities
: “Management company” means a securities company licensed to undertake securities business in the category of mutual fund management. “Closed-end fund” means a mutual fund which does not accept the redemption of