concerning Rules on Offering for Sale of Units of Foreign Collective Investment Schemes ; “ intermediary ” means: (1) a securities company licensed to undertake the securities business in the category of
intermediary; (6) life insurance companies; (7) non-life insurance companies; (8) mutual funds; (9) private funds; (10) provident funds; (11) Government Pension Fund; (12) Social Security Fund; (13) listed
Office may grant a waiver for an intermediary from complying with any rule under this Notification regarding communication with and providing services to clients on a case-by-case or temporary basis. In
regard, the SEC Office shall grant an approval only when the intermediary demonstrates that it has readiness of personnel, and has already prepared at least the following operating systems: (1) a security
Rules on Appointment of a Third Party as a Service Provider on Behalf of an Intermediary or as a Marketing Agent of a Derivatives Fund Manager
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Rules for Appointment of Independent Director of Intermediary
Kingdom of Thailand so permit by virtue of law, the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: “ intermediary ” means a securities company and