financial institutions: (a) a commercial bank under the Law on Financial Institution ; (b) a life insurance company under the Law on Life Insurance ; (c) a financial institution established under any other
, excluding a securities company which is a commercial bank under the law on financial institution business , life insurance company under the law on life insurance and financial institution established under
being fund supervisor are partners; (2) Limited partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to
” means a securities business operator or a derivatives business operators, but not including a business operator which is a commercial bank under the law on financial institution, a life insurance company
other training institutes approved by the Office; “Unit-linked life insurance policy” means an insurance policy issued by life insurance company to the insured as evidence that the insured and the life
granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for
Institution , a life insurance company under the Law on Life Insurance , and a financial institution established under other laws: (1) securities financing business; (2) brokerage, dealing or underwriting of
on securities and exchange(SC); □ A life insurance company under the law on life insurance business; □ A financial institution established under specific law according to the Notification of the
director” means any person who is responsible for the operation of a department within the company; “Company” means any limited company or public limited company and shall include any juristic person
, derivatives intermediary or life insurance company whether established under Thai or Foreign law. “ payment information management for securities trading ”5 means services relating to collecting, organizing and