instruments, but not including any company licensed to undertake securities business in the category of brokerage, dealing or underwriting of investment units and any financial institution which is under the
or partnerships under (1) or (2) that hold shares in an aggregate of more than ten percent of the outstanding shares of such company; (4) Limited company or public limited company of which the fund
Commission No. KorThor. 66/2547 Re: Maintenance of Financial Positions of Person Licensed as Derivatives Agent dated 22 December 2004 as amended by the Notification of the Securities and Exchange Commission No
notify the Office in writing immediately of such matters; □ (2.2) In the case where the shareholder who holds more than ten percent of the outstanding shares (“the shareholder”) is a financial institution
Exchange Commission concerning Maintenance of Capital of Investment Advisors and Derivatives Advisors . “ financial institution ” means: (1) a commercial bank under the Law on Financial Institutions ; (2) a
held by a fund at an amount more than seventy five percent of its outstanding shares and representing more than seventy five percent of its total voting rights; (f)7 the debt instruments issued by the
Thailand; (m) international financial institutions; (n) juristic persons established under specific laws; (o) government agencies or state enterprises under the law on budget procedures ; (p) Financial
), (2), (3), (7) and (8), excluding the licensees which are commercial banks, finance companies or financial institutions established under the specific laws, for the business operation as per Clause 4(1
three business days from the date when a report on securities analysis has been disseminated to investors; (c) the period where there are outstanding securities trading orders of clients; (d) the period
) The value of outstanding investment units is insufficient to accommodate the expenses for further investment management; (2) The nature of the sale of investment units, the number of unitholders or the