a conglomerate company or joint venture; (7) “ SEC Office ” means the Office of the Securities and Exchange Commission. Clause 2/1 This Notification is applicable to reporting the results of selling
worth investors” “registration statement” “parent company” “subsidiary company” “executive” “major shareholder” and “controlling person” shall have the same meaning as defined in the Notification of the
” “registration statement” “parent company” “subsidiary company” “executive” “major shareholder” and “controlling person” shall have the same meaning as defined in the Notification of the Securities and Exchange
company” means mutual fund management company; “fund manager register” means register of person qualified to be fund manager under the Notification of the Office of the Securities and Exchange Commission
Section 147 Securities and Exchange Act B.E. 2535 Section 147. During any two year period, if any securities company does not undertake securities business of the type so licensed in the volume as
securities company shall prepare financial statements of the private fund pursuant to its actual conditions, and shall comply with the rules, conditions and procedures specified by the notification of the SEC
: Rules and Submitting Period of Report of Securities Company dated 18 May 1992 and the third paragraph of Clause 3 of the Notification of the Securities and Exchange Commission No. 18/2549 Re: Maintenance
Period of Report of Securities Company dated 18 May 1992 and the third paragraph of Clause 3 of the Notification of the Securities and Exchange Commission No. 18/2549 Re: Maintenance of Net Liquid Capital