from the date of obtaining the license except where the licensee is a securities business which has already been undertaking securities business; (3) The licensee shall maintain the qualifications under
) above, excluding provident funds. 2 “executive” means a manager, the first four executives below the manager, and any person holding a position equivalent to the fourth such executive. “major shareholder
Securities and Exchange Act B.E. 2535 (1992), but excluding special property funds; “special property fund” means any of the following mutual funds: (1) property fund for resolving financial institution
hundred and eighty days from the date of obtaining the license except where the licensee is a securities business which has already been undertaking securities business; (3)3 the licensee shall maintain the
: “ intermediary ” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “ affiliated
: “intermediary” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “affiliated