undertake securities business; “Full-service Branch Office” means a securities company’s branch office in Thailand that provides services within the scope approved for such securities company. “Online Branch
shall also disclose the used assumption in the manner that is clear and easy to understand; (7) the estimated return or auto-redemption rate must be accompanied by the following statements: (a) in case of
where the application for establishment and management of the mutual fund has not been approved by the Office, the company shall state in the advertisement that the mutual fund is under the Office’s
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
in contacting investors in each category the company is required to assign separate personnel to do the task. This causes inflexibility in providing services to investors and overlapping with respect
insurance policy issued by life insurance company to the insured as evidence that the insured and the life insurance company have signed a contract of life insurance and a contract of investment in investment
regulator. “ market maker ” means a person who is appointed to provide trading of ETF units for ensuring that their market price in the secondary market approximates the net asset value of such ETF units
Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for ref (Translation) (Translation) 2 Readers should be aware that only the
Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for ref (UNOFFICIAL TRANSLATION) PAGE Readers should be aware that only the
Commission ______________________________________________________________________ Remark : The rationale for issuing this Notification is to ensure that the person granted a license to be derivatives broker