functions under Clause 4(1) are persons holding the following positions, excluding the person under Clause 10: (1) director; (2) general manager ; (3) person holding a position equivalent to the positions
. Clause 5 Personnel in the capital market business performing functions under Clause 4(1) are persons holding the following positions, excluding the person under Clause 10: (1) director; (2) general manager
to have rules that are suitable for the specific characteristics of the fund or clients, e.g., guaranteed fund, foreign investment fund, clients who are a provident fund, the Government Pension Fund
บทนำ 2 2 เอกสารรับฟังความคิดเห็น เรื่อง การแก้ไขเกณฑ์การอนุญาตเสนอขายหลักทรัพย์ เกี่ยวกับงบการเงินของผู้ขออนุญาตที่เป็นบริษัทประกอบธุรกิจหลักโดยการถือหุ้นในบริษัทอื่น (holding company) สำนักงาน
this Notification: (1) “ fund ” means an infrastructure fund; (2) “ management company ” means a securities company holding a license to manage mutual funds; (3) “ infrastructure asset ” means: (a) the
indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for
assigned investment grade credit rating according to Paragraph 2 of clause 7/2, or the Government, or the Ministry of Finance has guaranteed the principal and interest in full amount; (b) in case of deposits
Exchange Commission No. SorNor. 5/2551 Re: Investment and Holding of Assets for a Fund (No.3) By virtue of Section 126 (4) of the Securities and Exchanges Act B.E. 2535 (1992) in conjunction with Clause 18
holding securities for investment by the securities company itself; (3) Bearing a responsibility for the clearing and settlement for securities. (As amended by Section 5 of the Securities and Exchange Act