case an intermediary being [i] financial institution which is regulated by the Bank of Thailand or the Office of Insurance Commission or [ii] state enterprise under Ministry of Finance’s purview has
Assets of a Securities Company dated 4 January 2000 shall be repealed and replaced by the following texts: “(2) a financial institution whose core businesses are already under supervision and are licensed
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
financial institutions: (a) a commercial bank under the Law on Financial Institution ; (b) a life insurance company under the Law on Life Insurance ; (c) a financial institution established under any other
issued by financial institution under the law on interest on loan of financial institution ; (d) investments in securities, derivatives and other financial instruments; (e) receivables of securities
Exchange Commission concerning Maintenance of Capital of Investment Advisors and Derivatives Advisors . “ financial institution ” means: (1) a commercial bank under the Law on Financial Institutions ; (2) a
institution under the Law on Loan Interest of Financial Institutions or a financial institution under foreign law; (2) an agreement having characteristics comparable to the assets under (1) in accordance with
agreement with accrued interests; (3) promisory notes and bill of exchange issued by financial institution under the Law on Loan Interest of Financial Institution ; (4) investments in securities, derivatives
person obtaining the commercial banking business license under the law on financial institutions. “ net capital ” means the liquid capital deducted by risk haircuts . “ liquid capital ” means liquid assets
, interest rate, financial index, securities index as goods or variable, or any other assets or variables as specified in the Notification of the Office; “financial institution” means any financial institution