” means a securities business operator or a derivatives business operators, but not including a business operator which is a commercial bank under the law on financial institution, a life insurance company
not receiving a fee or any reward, either directly or indirectly, related to giving advice unless such fee or reward is received from operating a business of website or electronic media that is not
appoints as an agent to perform duties relating to the custody of mutual fund assets; “Management company” means any securities company licensed to undertake securities business in the category of mutual
BUSINESS SECTION 16. A derivatives business operator shall be a limited company or a public limited company, except for a derivatives advisor which may be an individual, and shall be allowed to undertake a
person to be an executive of the company or in cases other than (2), the derivatives business operator shall proceed the followings: (a) in case of an appointment of a person to be director or manager, the
. (2) Any securities company, which ceases to undertake any particular category of its business or ceases any particular transaction which requires reporting, and when the Office has received notice in
In the case where a derivatives business operator is a securities company having the duty to prepare and disclose the financial statements in accordance with the Securities and Exchange Act B.E. 2535
company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment
virtue of Clause 5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to
within 30 December 2018; (2) a company which is newly established to apply for the agricultural derivatives business license , except the companies under (1). Clause 4 An applicant shall be granted the