Executives of securities companies and personnel in securities business Registered Person in Derivative Business Broker, Dealer, Underwriter and other securities businesses Related Organizations Digital Assets
regulator. “ market maker ” means a person who is appointed to provide trading of ETF units for ensuring that their market price in the secondary market approximates the net asset value of such ETF units
units by accepting assets as a redemption under the requirement of such ETF. “management company” means a securities company licensed to undertake securities business in the category of mutual fund
a securities company licensed to undertake securities business in the category of mutual fund management. “foreign exchange” means [i] a juristic person established under foreign law which offers
Hundred Fifty Five Thousand Four Hundred Forty shares) preferred share : - share (- share)” in addition, Mr. Eugene S. Davis or Mr. Varah Sucharitakul or any person designated by Mr.Eugene S. Davis or Mr
company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment
Operator Instruction 1. An applicant for registration to be a general derivatives business operator shall specify the detail only in Part I and Part III. 2. A juristic person established under foreign law
Derivatives Business Operator Instruction 1. An applicant for registration to be a general derivatives business operator shall specify the detail only in Part I and Part III. 2. A juristic person established
Hundred Forty shares) preferred share : - share (- share)” in addition, Mr. Eugene S. Davis or Mr. Varah Sucharitakul or any person designated by Mr.Eugene S. Davis or Mr. Varah Sucharitakul shall be
calculating net asset value of fund or securities-clearing (back-office function) including the segregation of reporting line of the personal in the segregated units and there should be a person responsible for