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of the SEC’ s operation 1 2 3 4 5 6 1. Supervision of Securities Business 3/10 • For flexibility of securities business supervision and supporting Financial Technology • To promote development and
investor” means any investor which is a financial institution under the Commercial Banking Act, securities company, non-life insurance company, life insurance company, statutory company, mutual fund, private
entity established in any other forms as specified in the notification of the SEC. "securities company" means any company, or financial institution licensed to undertake securities business under this Act
other forms as specified in the notification of the SEC. 4 indicated amendment by the Securities and Exchange Act (No. 4) B.E. 2551 3 "securities company" means any company, or financial institution
undertake trust business shall be: (1) a commercial bank under the Commercial Banking Act; (2) a financial institution established under specific law; (3) any juristic person as specified in the notification
. SECTION 55 A person eligible to apply for an approval to undertake trust business shall be: (1) a commercial bank under the Commercial Banking Act; (2) a financial institution established under specific law
the Commercial Banking Act; (2) a financial institution established under specific law; (3) any juristic person as specified in the notification of the SEC. UNOFFICIAL 13 The person applying for the
their businesses; (4) enter into a financial institution or any place during the hours between sunrise and sunset, or during the business hours of such places, to inspect accounts, documents, evidence or