Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and
management; “Connected person” means: (1) Ordinary 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
company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment
Category of business applied for registration □ to be a derivatives advisor 1.1 Category of juristic person of the applicant, □ a commercial bank under the law on commercial bank (CB.); □ a finance company
director, manager or person with power of management; (3) “Person with power of management” means executive director, deputy manager, assistant manager, department director, branch manager and shall also
” means a person who entrusts a securities company to undertake the purchase and sales of securities on his/her behalf; “institutional customer” means a commercial bank or finance company or securities
law on commercial bank business(CB); □ A finance company under the law on undertaking of finance business, securities business and credit foncier business(FC,FSC); □ A securities company under the law
invest in derivatives issued by any issuer or traded in any derivatives exchange which is not under the supervision of the Office, the Office shall have power to specify types of derivatives contracts in
) commercial banks; (2) finance companies; (3) securities companies; (4) credit foncier companies; (5) insurance companies; (6) juristic persons but not include any juristic person as prescribed in (8); (7
complaints arising from the performance of duties of its employees. Clause 4. Unless otherwise specified, the Office shall have power to issue the Notification prescribing detailed rules relating to the