management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the

company is allowed to advertise, except for the advertising made pursuant to Chapter 2 which must be approved by the Office prior to distribution. Clause 5. To advertise, in any cases, the securities

Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who

aggregate of more than 75% of all shares with voting right; (15) Foreign investors with the same characteristics as such investors under (1) to (14) mutatis mutandis ; (16) Juristic person as permitted, on a

companies undertaking securities business. There are two types of investor contact , i.e., Investor Contact Type A permitted to conduct securities investment analysis, and Investor Contact Type B permitted to

” means a person authorized by a company’s board of directors to assume the highest responsibility in the company’s management, regardless of his or her title; (3) “ institutional investor ” means an

constituting conflicts of interest, especially the actions as prescribed in Clause 16 unless it is an action allowed by [other clauses of] this Notification; 2. receiving a gift or other benefits from the client

areas to be satisfied by a management company: (1) The scope of operations of the permitted branch office as it deems appropriate; (2) The procedures to be made by the management company to ensure

concession right to operate an infrastructure business; (c) the right to receive the future income or the right under the income sharing agreement that will be generated by an infrastructure business or will

number of voting rights of such juristic person; (8) “ client solicitation ” means soliciting clients for engaging in an agreement with a private fund management company by the way of providing investment