person of the company. Such authorized person must not be either a staff who prepares client’s assets account or a staff who keeps the client’s assets. Clause 6. A securities company must issue rules or

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

of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply

instruments issued by PTT Public Company Limited . In order to protect the investors’ interest and legitimate right and ensure that they are treated fairly, it is therefore necessary to issue this Notification.

Securities and Exchange Commission No. SorThor/Nor. 8/2551 Re: Reporting of Offshore Securities Investment of Securities Company By virtue of Clause 1 (3) of the Notification of the Securities and Exchange

ลักษณะอย่างใดอย่างหนึ่งดังต่อไปนี้ (ก) ตัวตราสาร หรือผู้ออก หรือผู้รับอาวัล หรือผู้ค้ำประกัน ได้รับ rating ในระดับ investment grade จากสถาบันจัดอันดับความน่าเชื่อถือที่ได้รับการยอมรับจากสำนักงาน (issue

the registration as a derivatives business operator must be a juristic person as follows: (1) a commercial bank under the law on commercial bank; (2) a financial company under the law of finance

this regard the management company shall clearly specify detail of such issue in the mutual fund scheme. Clause 18. To ensure that the investors shall obtain fair treatment within their entitlement, and

Forms of Securities Companies dated 28 November 2001 shall be repealed.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

Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Securities company” means a company licensed to