” means any person undertaking business relating to buying or selling gold in Thailand. (3) “Major shareholder” means any holder or beneficial owner of shares in the amount exceeding ten percent of the
each accounting period of six months. Such publications shall be posted in a prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall
securities / derivatives holder ประเภทหลักทรัพย์และสัญญาซื้อขายล่วงหน้า Types of securities and derivatives วันที่ทำรายการ Transaction date จำนวนหลักทรัพย์และสัญญาซื้อขายล่วงหน้า ที่ถือก่อนวันที่ ทำรายการ No
available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC
) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more
Capital Market Supervisory Board concerning Offer for Sale of Newly Issued Debentures in the Category of Structured Note or Debentures Imposing Obligation on Debenture Holder which are Issued by Financial
licensed to undertake securities business in the category of mutual fund management shall have paid-up registered capital of not less than one hundred million baht. Clause 4. The securities company licensed
upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
) provident funds; (12) mutual funds; (13) juristic persons having amount of an investment from one hundred million baht of the latest financial statement which audited by the auditor; (14) juristic persons
of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or