where the derivatives broker is a securities company having duty to appoint an independent director under the Notification issued by virtue of the Securities and Exchange Act B.E. 2535 (1992), if such
In the case where a derivatives business operator is a securities company having the duty to prepare and disclose the financial statements in accordance with the Securities and Exchange Act B.E. 2535
that the operation of the securities company follows laws on securities and exchange and notifications issued by virtue of such laws. In performing duty in supervising the securities company under the
Forms of Securities Companies dated 28 November 2001 shall be repealed. Clause 2. In this Notification: “securities company” means a legal entity licensed to undertake securities business in the category
company. Clause 2. A securities company may appoint or allow another securities company’s executive to be or perform duty as its executive or advisor upon being granted approval from the Office on condition
3 years during a 5-year period prior to application submission, please specify details of the company where the applicant has performed duty as an audit supervisor or a person who reviews audit
established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand ( issued by
appointment of a securities company to perform duty as local intermediary in Thailand (issued by Hong Kong Covered Management Company) [ ] 4. Evidence on the appointment of a local representative in Thailand as
Office by accompanying with other information in which management company has the duty to deliver via the Investment Management Reporting System or Private Fund Provident Fund Reporting System as specified
) “prospectus” means a prospectus which is identical to a draft prospectus filed with the SEC Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing