the trust instrument; “registration statement” means the registration statement of an offer for sale of securities in the category of unit; “financial advisor” means a financial adviser whose name
Category of the Securities Financing dated 28 July 1997; (2) Notification of the Office of the Securities and Exchange Commission No. Sor Thor/Nor. 26/2549 Re. Form for Financial Statements of Securities
: “intermediary” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company
derivatives, or in trading derivatives with a person licensed to undertake derivatives business in the category of derivatives dealer, shall not deem to be a derivatives dealer. Clause 2. This Notification
for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business operator, futures trading manager or futures
. Operators of derivatives business wishing to apply for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business
derivatives and structured notes. The revisions include expanding underlying assets of derivatives and SN to cover all investible assets as well as revising SN definition and underlying assets in the category