management company which accepts the redemption of investment units; (4) “management company” means a securities company licensed to undertake securities business in the category of mutual fund management; (5
) “investor contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for investors, and are divided into two categories: Category A Investor
. 2551 (2008) hereby issues the following regulations: Clause 1 In this Notification: “ securities company ” means a securities company licensed to undertake securities business in the category of
. 2551 (2008) hereby issues the following regulations: Clause 1 In this Notification: “securities company” means a securities company licensed to undertake securities business in the category of securities
prepare and submit the report on its financial condition and operating results, that the company’s directors or executives possess the first or the second category of the untrustworthy characteristics as
capital ” means liquid assets deducted by total liabilities ; “ liquid asset ” mean the total sum of the following assets: (1) cash and bank deposit; (2) securities purchased under reverse repurchase
liquid assets deducted by total liabilities; “liquid asset” mean the total sum of the following assets: (1) cash and bank deposit; (2) securities purchased under reverse repurchase agreement with accrued
, the SEC promulgates regulations as follows: Clause 1 In this Notification: (1) “foreign ETF” means collective investment scheme in category of exchange-traded fund established under law of foreign