investment units, established and managed by a management company. “Fund supervisor” means the fund supervisor of a closed-end fund. “Office” means the Office of the Securities and Exchange Commission. Clause
securities company licensed to undertake securities business in the category of mutual fund management. “Open-end fund” means a mutual fund which accepts the redemption of investment units, established and
restriction /suspension of services, termination of services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money
found that certain principle has not been implemented, the Board of Directors shall record the reasons for not following any particular principle as part of the consideration and review procedures
person in the same business sector as the intermediary shall be in accordance with the rules under Paragraph 1, mutatis mutandis . Chapter 1 General Provisions _____________ Clause 4 An intermediary which
; (3) “Commercial bank” means any commercial bank under the law on commercial banking and any juristic person established under foreign laws which is permitted by such laws to undertake commercial
อสังหาริมทรัพย์ (ประมวล) การจัดกลุ่ม การจัดกลุ่มอุตสาหกรรม ในระยะแรกตลาดหลักทรัพย์ฯจัดหน่วยลงทุนของกองทุนรวมอสังหาริมทรัพย์ ไว้ในหมวดธุรกิจพัฒนาอสังหาริมทรัพย์ (Property Development Sector) เพื่อให้สอดคล้องกับ
established by a specific law with an objective to undertake businesses; “Association” means any association relating to securities businesses which has been approved by and registered with the Office and whose
2018 in the relevant matters: (1) the regulator of the foreign service provider is located in a country that has participated in the Financial Sector Assessment Program (FSAP) and received the assessment