executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for investors, and are divided
of mutual fund or private fund management, or derivatives investment management company. “ fund ” means mutual fund and private fund. “ investor ” means any person interested in investing in capital
Market Supervisory Board under Section 6 of the Derivatives Act (No. 2) B.E. 2551 (2008) hereby issues the following regulations: Clause 1 In this Notification: “ derivatives broker ” means a person
Supervisory Board under Section 6 of the Derivatives Act (No. 2) B.E. 2551 (2008) hereby issues the following regulations: Clause 1 In this Notification: “derivatives broker” means a person licensed to
shall be repealed. Clause 3 In this Notification: (1) “ derivatives broker ” means a person who is licensed to undertake the derivatives business in the category of derivatives brokerage; (2) “ manager
shall be repealed. Clause 3 In this Notification: (1) “derivatives broker” means a person who is licensed to undertake the derivatives business in the category of derivatives brokerage; (2) “manager
member, or employee or a person holding any other equivalent position, including a person participating in the management of a member; (3) is a shareholder with the controlling power of the derivatives
securities or investment units; (3) a person who obtains derivatives business license in the category of derivatives broker whose shareholder is a commercial bank or the securities company under either (1) or