seventy-five percent of the total sold shares of certain company, whereby such company obtains a permission from the SEC to undertake business in the category of back office service as specified in Section
: Permission for the Management Company to Take Purchasing Order or Selling Order of Investment Unit of Mutual Fund from Customer Outside the Place of Business of the Investment Management Company, dated 21
(1992). Clause 4. In respect of any private fund management company having been licensed to undertake securities business in other category and having been granted permission by the Office to establish a
Securities Companies to Establish Branch Offices dated 24 August 2000 shall be repealed. Clause 3. In this Notification, “Securities company” means any company licensed to undertake securities business in the
management company or private fund management company; “Mutual fund management company” means any securities company licensed to undertake securities business in the category of mutual fund management
Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office
and sale or exchange of securities in the Securities Exchange and in an over-the-counter centre by a securities company licensed to undertake securities dealing business; (9) relocate its head office or
Category of business applied for registration □ to be a derivatives advisor 1.1 Category of juristic person of the applicant, □ a commercial bank under the law on commercial bank (CB.); □ a finance company
Custodian dated 30 March 2001. Clause 2. In this Notification “Management company” means securities company licensed to undertake securities business in the category of private fund management. “Manager
service or back office service; “Securities company” means any company licensed to undertake securities business in the category of securities broker according to the Securities and Exchange Act B.E. 2535