management of proprietary portfolios; (7) Any other financial institutions specified by the Office with the approval of the Securities and Exchange Commission; (8) Securities companies for the management of
investors: (1) Bank of Thailand; (2) commercial bank; (3) bank established under specific law; (4) finance company; (5) credit foncier; (6) securities company; (7) non-life insurance company; (8) life
customer; “Office” means the Office of the Securities and Exchange Commission. Clause 2 . A management company shall appoint a natural person or a juristic person as its representative pursuant to the
and Lending (No. 4) dated 25 October 2006; and (7) Clause 2(1) and (2) and Clause 9 of the Notification of the Securities and Exchange Commission No. KorKhor. 42/2547 Re: Rules, Conditions and
Establishment of Mutual Funds and Execution of Agreements for Private Fund Management ; (7) “ major shareholder ” means a person directly or indirectly holds shares of a juristic person exceeding 10% of the total
Execution of Agreements for Private Fund Management ; (7) “ major shareholder ” means a person directly or indirectly holds shares of a juristic person exceeding 10% of the total number of voting rights of
Services Clause 7 In providing services to clients regarding investment in a capital market product denominated in foreign currency , the intermediary shall comply with the following rules: (1) To provide
such guideline, the intermediary shall be deemed to have complied with the provisions prescribed in this Notification. Chapter 1 General Provisions related to Providing Services Clause 7 In providing
December 2001 shall be repealed. Clause 2. In this notification: “Investor contact person” means a natural person who has been approved to be an investor contact person under the Notification of the
. Opinions of the executives on the audit quality control in the previous accounting period 7 6. List of audit engagement clients in the previous accounting period and the associated fee 7 7. Safeguards