Section 103 PAGE 2 Securities and Exchange Act B.E. 2535 Section 103. No securities company shall appoint or allow any person with any of the following prohibited characteristics to be or to perform

Notification shall come into force as from 16 March 2007.                 Clause 2. In this Notification; (1) “securities company” means any company licensed to undertake securities businesses to perform

laws3 Specify the applicable laws on debt securities 1.1.4 Clarify the obligations to which the Company has committed in the registration statement for securities offering and/or the approval conditions

person assigned by the board of directors of the securities company to be ultimately responsible for the management of the securities company regardless of what the title may be; “person with power of

2000 shall be repealed. Clause 2. In this Notification, “Mutual fund manager” means a director or an employee of a management company who is authorized by the management company to make decisions

law on commercial bank business(CB); □ A finance company under the law on undertaking of finance business, securities business and credit foncier business(FC,FSC); □ A securities company under the law

first paragraph is a commercial bank under the law on financial institution business, a life insurance company under the law on life insurance, or a financial institution established under a specific law

- 2 - สิ่งที่ส่งมาด้วย - ตัวอย่างการคิด company limit ตัวอย่าง : บลจ. A ทำธุรกรรม reverse repo กับคู่สัญญา B ทั้งสิ้น 3 ธุรกรรม โดยใช้ตราสารหนี้ ของบริษัท ( ( และ ( ตามลำดับ ทั้งนี้ มูลค่าธุรกรรมและ

tables attached hereunder: “ intermediary ” means a securities company or a derivatives intermediary; “ fund management company ” means a securities company licensed to undertake securities business in the

attached hereunder: “ intermediary ” means a securities company or a derivatives intermediary. “ fund management company ” means a securities company licensed to undertake securities business in the category