; (2) A securities operation unit, the securities company may arrange for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices
business days from the date when it received such advertisement, it shall be deemed that the securities company has been granted an approval from the Office to make such advertisement. Clause 7. For an
approval the Office may specify additional conditions which apply to such investor contact and the securities company which has submitted the application for approval. In case the Office declines to grant
investment management; Clause 3. The securities company shall advertise any mutual fund only after the company has submitted an application for approval of such fund’s establishment to the Office. In cases
such units from foreign exchange for making delivery; (2) in case of short selling for client’s account: (a) the client shall demonstrate that it has [i] the enabling asset to be exchanged for ETF units
Securities Companies. By virtue of the third paragraph of Clause 5 of the Notification of the Ministry of Finance, Re: Prescribing conditions requiring securities company to apply for approval of persons who
of directors and executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for
for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
settlement for securities. Clause 5. The securities company licensed to undertake securities business in the category of private fund management shall have paid-up registered capital of not less than the
work is to provide services for other persons or for the benefit of the company itself; (4) “Executive director” means any person who is appointed by the board of directors as executive director or