management; “Office” means the Office of the Securities and Exchange Commission. Clause 3. This Notification shall not apply to any private fund management company which is a financial institution established
is a financial institution established under other laws where the establishment of a branch office of such company shall be made under such laws as specified under the third paragraph of Section 92 of
the Office of Securities and Exchange Commission No. Sor Thor/Nor. 45/2559 Re: Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of
” means (a) Any person licensed to undertake derivatives business under the law on derivatives but not including any financial institution under the supervision of other organization and later obtain
financial institution which is under the supervision of other organization and later obtain license to undertake securities business; (b) Any juristic person established under foreign laws which is permitted
a securities business, of which objectives is for promoting and developing securities business, having obtained an approval to establish from and having registered [such establishment] with the SEC
securities business, having obtained an approval to establish from and having registered [such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries