derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other service providers relating to derivatives as specified in the notification of the SEC
derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other service providers relating to derivatives as specified in the notification of the SEC
type of securities license granted. 4.3 Using of scripless system by depository center for all types of securities and throughout the whole process • Licensed depository center can provide service
service, or any specific other right under an agreement between the issuer and the holder, and shall include any other electronic data units of right as specified in the notification of the SEC. “digital
right of a person to participate in an investment in any project or business; (2) specifying the right of a person to acquire specific goods, specific service, or any specific other right under an
. "securities business" means any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory service; (4) securities underwriting; (5) mutual fund management
service; (4) securities underwriting; (5) mutual fund management; (6) private fund management; (7) other businesses relating to securities as specified by the Minister upon recommendation of the SEC
Commission hereby referred to as the "SEC" shall be established, comprising the Chairman appointed by the Cabinet upon the recommendation of the Minister of Finance, the Governor of the Bank of Thailand, the
It shall be presumed that a person who has committed any of the following acts is the principal for committing the offenses under Section 244/3: (1) opening a joint bank account for making a payment or
upon in the agreement authorizing the management of the private fund; (2) accepting fees or any service charges from the person authorizing the management of the private fund, except for fees or service