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
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terms as specified in the Notification of the Securities and Exchange Commission concerning determination of definitions of institutional and high net worth investors; “foreign collective investment
and Exchange Commission No. KorThor. 7/2547 Re: Registration to be a Derivatives Business Operator in the Category of Derivatives Broker and Derivatives dealer, dated 23 January 2004 and Clause 4 of the
regulations: Clause 1 In this Notification: (1) “executive” means a manager or a person with power of management; (2) “manager” means any person who is authorized by the board of directors of the company to
__________________ By virtue of Section 9 and Section 49 of the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: (1)3
Section 49 of the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: (1)3 “derivatives broker” means a person
Rules on Personnel in the Capital Market Business 03/06/2014 01/07/2014 Notification of the Office of the Securities and Exchange Commission SorLorThor. 8/2557 The Approval of Personnel in the Capital