financial statement that has been audited by an auditor approved by the Office shall not less than Baht one billion, In case where the securities company increase or reduce its paid-up capital after the
an auditor approved by the Office shall not less than Baht one billion, In case where the derivatives broker increase or reduce its paid-up capital after the issuance of the latest financial statement
) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more
exchange Earnings from operation before change in operating assets and liabilities Operating assets (increase) decrease Long-term deposits at financial institutions Securities purchased under reverse
established by a specific law with an objective to undertake businesses; “Association” means any association relating to securities businesses which has been approved by and registered with the Office and whose
person who is authorized by a management company to have power to make decisions on investments for a fund; “Association” means any association relating to securities business, which has been approved by
big retail investors ; “mutual fund for institutional investor” means a mutual fund whose establishment has been approved by the SEC Office prior to the date on which this Notification comes into force
, as the case may be. “ support system provider ”4 means a person approved to be a support system provider under the notification concerning support system provider . “ support system ”4 means support
accruing from the assets under (a) to (c), for example, right to dividend or interest, right to purchase capital increase shares and right to attend and vote at a meeting of securities holders, etc. (2
Securities ____________________ Clause 16 In this Division, “ listed securities ” means securities which have been listed or approved to be traded on the Stock Exchange of Thailand. Clause 17 For the purpose