banking business and is under the supervision of an entity which has similar supervision to that of the Office; (4) “Securities business operator” means (a) Any company licensed to undertake securities
UNOFFICIAL TRANSLATION 2 Office of the Securities and Exchange Commission 333/3 Viphavadi-Rangsit Road, Chomphon Subdistrict Chatuchak District, Bangkok 10900 www.sec.co.th Tel: 0-2033-9999 Fax: 0
Forms of Securities Companies dated 28 November 2001 shall be repealed. Clause 2. In this Notification: “securities company” means a legal entity licensed to undertake securities business in the category
” means any securities clearing house under the Securities and Exchange Act. “institutional investor” means any investor which is a financial institution under the Commercial Banking Act, securities company
2000 shall be repealed. Clause 2. In this Notification, “Mutual fund manager” means a director or an employee of a management company who is authorized by the management company to make decisions
license under this Notification; (5) “commercial bank” means any commercial bank in accordance with law on commercial banking or law on business of financial; (6) “securities company” means any securities
of whatever name excluding bills, divided into units, each with equal value and a predetermined rate of return, issued by any company to a lender or purchaser, representing the right of the holder of
Procedures for Dealing of Debt Securities (No. 3) dated 31 January 2000. Clause 3. In this notification: “securities” means securities which are debt Securities; “securities company” means a company licensed
law on commercial banking or law on business of financial; (6) “ securities company ” means any securities company under the law governing securities and exchange; (7) “ company ” means a limited
guidelines for investor contacts; (c) Relevant laws such as anti-money laundering law, law governing commercial banking, etc. The Office will not determine attendance hours of the activities under 2.1 and 2.2