fund management, or derivatives investment management company; “fund” means mutual fund and private fund; “investor” means any person interested in investing in capital market products including
Settlement (BIS). (2) an audit firm, whose auditors are recognized by the SEC Office to be an auditor in the capital market under the Notification of the Office of the Securities and Exchange Commission
information. In this respect, if such work is related to the accounts and finances of clients, the operator shall be affiliated company or auditing firm; (7) client registration; (8) back office operation after
Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand ( issued by CIS Operator ) [ ] 4
under the law of Home Regulator’s jurisdiction (issued by Home Regulator) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand (issued by CIS Operator
firm executives against whom the SEC files a criminal complaint as person of untrustworthy characteristics, active participation of minority shareholders in Extraordinary General Meeting of Shareholders
incorporation in the amount of more than 10 percent of the total number of the voting rights of such incorporation. In this regard, the shares held by such person shall be included in the number of shares held by
to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a