derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other service providers relating to derivatives as specified in the notification of the SEC
derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other service providers relating to derivatives as specified in the notification of the SEC
type of securities license granted. 4.3 Using of scripless system by depository center for all types of securities and throughout the whole process • Licensed depository center can provide service
service, or any specific other right under an agreement between the issuer and the holder, and shall include any other electronic data units of right as specified in the notification of the SEC. “digital
right of a person to participate in an investment in any project or business; (2) specifying the right of a person to acquire specific goods, specific service, or any specific other right under an
. "securities business" means any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory service; (4) securities underwriting; (5) mutual fund management
service; (4) securities underwriting; (5) mutual fund management; (6) private fund management; (7) other businesses relating to securities as specified by the Minister upon recommendation of the SEC
upon in the agreement authorizing the management of the private fund; (2) accepting fees or any service charges from the person authorizing the management of the private fund, except for fees or service
Microsoft Word - SEA-ÃÒ©ºÑº 6-3-51.doc (Unofficial Translation)* Securities and Exchange Act (No. 4) B.E. 2551 _________________ BHU BHUMIBOL ADULYADEJ, REX., Given on the day of 23rd February B.E
freshfield 1 ROYAL ENACTMENT ON SPECIAL PURPOSE JURISTIC PERSONS FOR SECURITISATION B.E. 2540 (1997) Bhumibhol Adulyadej, Rex., Given on this 27th day of June B.E. 2540 Being the 52nd Year of the