Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Derivatives Business in the Category of Derivatives Advisor
: “Securities company” means a company licensed to undertake securities business in the category of securities brokerage or securities dealing; “Foreign securities” means securities which are issued in foreign
licensed to undertake derivatives business in the category of derivatives brokerage. “ assets of client ” means: (1) assets which a derivatives broker receives or holds as collateral for satisfying
undertake derivatives business in the category of derivatives brokerage. “assets of client” means: (1) assets which a derivatives broker receives or holds as collateral for satisfying obligations under
category of treasury bills, government bonds, Bank of Thailand bonds and bonds whose principal and interest are guaranteed by the Ministry of Finance, no matter the services had provided in the area of
to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a
. Clause 3. In this notification: “securities” means securities which are debt Securities; “securities company” means a company licensed to undertake securities business in the category of securities dealing
company” means any securities company licensed to undertake securities business in the category of mutual fund management; “Private fund management company” means any securities company licensed to
category of mutual fund management; “Private fund management company” means any securities company licensed to undertake securities business in the category of private fund management; “Securities company