undertaking of finance, securities and credit foncier businesses, securities company under the laws governing securities and exchange, life insurance company under the laws governing life insurance or financial
Commission concerning Maintenance of Capital Adequacy of Mutual Fund Management Company and the Notification of the Capital Market Supervisory Board concerning Indemnity Insurance of Mutual Fund Management
investment schemes established under the Act on Undertaking of Finance Business, Securities Business and Credit Foncier Businesses; (4) Credit foncier companies; (5) Insurance companies; (6) Juristic persons
service or derivatives advisory service; “ insurance ” means a professional indemnity insurance. Clause 3 This Notification shall not apply to the following intermediaries which are: (1) the following
or contracts. “ insurance ” means the professional indemtity insurance. Chapter 1 Calculation and Reporting of Maintenance of Capital Division 1 Liquid Assets and Insurance Used for Maintenance of
: ............................ Remark : The applicant is required to notify the SEC Office in advance at least five business days before the opening of the representative office abroad.
, derivatives intermediary or life insurance company whether established under Thai or Foreign law. “ payment information management for securities trading ”5 means services relating to collecting, organizing and
securities dealing: (1) commercial banks; (2) financial companies; (3) securities companies; (4) credit foncier companies; (5) insurance companies; (6) juristic person established under the specific law other
, excluding a securities company which is a commercial bank under the law on financial institution business , life insurance company under the law on life insurance and financial institution established under
form and procedures provided in the electronic system of the Office or by any other means notified in advance by the Office. Clause 3. This Notification shall come into force as from 14 March 2008