offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an
management; “Office” means the Office of the Securities and Exchange Commission. Clause 3. This Notification shall not apply to any private fund management company which is a financial institution established
Notification is that it deems appropriate to offer opportunities for gold business operators with proper qualifications and readiness in term of financial and management capability to undertake derivatives
skill, care and diligence; (3) management and control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4
-to-date information; (2) putting in place a reporting system for the information important to the company’s work management, such as financial and non-financial information and operational risk, for
business in the category of securities brokerage, securities dealing, securities underwriting or mutual fund management, excluding the financial institution established under other law and licensed to
readiness in term of financial and management capability to undertake derivatives business as well as to improve the issuance of derivatives business license so as to cover a number of derivatives business
applicants for derivatives business license to offer opportunity to business operators with proper qualifications and readiness in term of financial and management capability to undertake derivatives business
category of private fund management which is a financial institution established under other laws or also conducting other types of securities business. Clause 11 In engaging in proprietary trading through
licensed or regulated by the SEC Thailand : Asset Management Company Licensed Bank/ Financial Institution Licensed Securities Company Licensed Institution/ Corporation/ Organisation (e.g. insurance company