undertake securities business in the following categories of: (l) Mutual fund management; (2) Private fund management; or (3) Securities brokerage, securities dealing or securities underwriting but not
on Private Fund Management dated 31 July 2000; (4) Notification of the Office of the Securities and Exchange Commission No. SorNor. 49/2543 Re: Rules on Protection of Conflict of Interest on Investment
: Determination of Paid-Up Registered Capital of Securities Company Licensed to Undertake Securities Business in the Category of Private Fund Management dated 18 September 2000. (2) The Notification of the
) Clause 4(2) of the Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing Which Are Not Debt
Notification: “Securities company” means a company licensed to undertake securities business in the category of securities brokerage, securities dealing and securities underwriting which is not limited to debt
supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best
Investors and Private Funds ___________________________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008
) all types of securities business license except the followings: (a) debt securities brokerage; (b) securities borrowing and lending business. (2)2 licenses for providing securities registrar services
business in the category of securities brokerage, investment advisory service, mutual fund management, private fund management, securities dealing or securities underwriting which is not limited to debt
each type of business: (1) securities brokerage; (2) securities dealing; (3) securities underwriting; (4) mutual fund management; (5) private fund management; (6) derivatives broker. Clause 6 The total