Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
holding in, securities, derivative, or any other properties, or invest in or procure for profit by other means. "private fund management" 2 means the management of funds of a person or group of persons who
(2003) which contains certain provisions in relation to the restriction of rights and liberty of persons which Section 29, in conjunction with Section 33, Section 34, Section 36, Section 41, Section 43
management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to
issues the following regulations: Clause 1. The following juristic persons shall be institutional investors under Section 3 of the Derivatives Act, B.E. 2546 (2003): (1) a commercial bank; (2) the Bank of
” means giving advice or holding oneself out to the public as being willing to give advice to other persons, whether directly or indirectly, on derivatives contracts or suitability for purchasing or selling
_____________________________________________________________________ I/We have duly examined the information contained in this application form hereto and declare that to the best of our knowledge and belief all information given in this application form and the
].............., CPA License No. ......................, I hereby provide evidentiary documentation for your consideration, as follows: 1. Evidence on the registration of juristic person / body of persons: 1.1 a copy of
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
and Exchange Commission No. Sor Thor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the