shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement
established under following Notifications: (1) Notification of the Securities and Exchange Commission on Rules, Conditions and Procedures on Establishment and Management of Property Fund to Solve the Problem in
securities’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from
give the securities company sufficient time for preparing or taking any action to allocate fund or solve an issue of maintaining the financial position possibly arising from operational risk. Clause 4 A
Exchange Act (No.3) B.E. 2546) “private fund management” means the management of funds of a person or group of persons who has authorized the management of investment to acquire benefit from securities
: (1) the provision of services cannot solve a problem or develop the provision of services in the Thai capital market or do not benefit Thai investors or the Thai capital market as specified in Clause 4
: (1) the provision of services cannot solve a problem or develop the provision of services in the Thai capital market or do not benefit Thai investors or the Thai capital market as specified in Clause 3
where securities are being traded for clients. Clause 8 In the case where a securities intermediary invests in shares to acquire proprietary assets in accordance with the rules prescribed in the
” means any person who is authorized by the derivatives fund manager to make an investment decision to acquire benefits from derivatives for others; “Association” means any derivatives fund management
following conditions: (1) there is a reason to believe that the operation cannot solve a problem or develop the provision of services in the Thai capital market or does not benefit Thai investors or the Thai