other training institutes approved by the Office; “Unit-linked life insurance policy” means an insurance policy issued by life insurance company to the insured as evidence that the insured and the life
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
or a group of persons who authorized a management company to manage a private fund; “Liquid asset” means assets as follow: (a) Cash or deposit money; (b) Certificate of deposit or promissory notes
the date the company knew or should have known of the change in such data. Sincerely yours, signed …………..................... (authorized person) (……….........................) On behalf of the
person who is authorized by a management company to have power to make decisions on investments for a fund; “Association” means any association relating to securities business, which has been approved by
least separate a staff who prepares client’s assets account from staff who keeps the client’s assets, and specify that the transfer of the client’s assets each time must be approved by an authorized
2000 shall be repealed.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
) wish to be approved as a foreign auditor in the capital market under the Notification of the Office of the Securities and Exchange Commission No. SorShor 30/2558 dated 9 April 2015 Re: Approval of
securities company as a source of contact for clients; and (4) complying with rules concerning analysis report translation specified by the bodies relating to securities business approved by the SEC office