individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
Securities and Exchange Commission Governing Rules, Conditions and Procedures for Approval of Property Fund Manager B.E. 2552 (2009) __________ By virtue of Clause 3 (1) and (2), Clause 11, Clause 19(6) and
within the full period of 3 years preceding the year of application filing toward the date of application filing; □ (2.4) In the case where the shareholder is an individual person: Violation record under
is to determine the maximum amount of damages claimed in order to ensure that the arbitration serves as an alternative dispute resolution for individual investors in accordance with the purpose of the
Exchange Commission No. SorThor. 25/2550 Re: Prescription of the Rate or Value of Property Deposited as Margins _____________ By virtue of: (1) Clause 1(9) of the Notification of the Securities and Exchange
able to show that any individual being its director, manager or person with power of management who is in charge of derivatives business of the applicant meets the requirements and does not have any
established under following Notifications: (1) Notification of the Securities and Exchange Commission on Rules, Conditions and Procedures on Establishment and Management of Property Fund to Solve the Problem in
following manners: (a) a spouse or a minor child of such person; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding shares of such person
; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding shares of such person in the number of exceeding fifty percent of the total
Services Related to Mutual Fund and Private Fund Management dated 29 November 2000 shall be repealed. Clause 3. In this Notification: “Fund” means any mutual fund or private fund; “Specified property fund