(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
company under the law governing securities and exchange; (7) “company” means a limited company or a public limited company; (8) “conglomerate” means a group of legal entities having relationship in respect
2/1: (1) providing a complete work system ready to undertake the business of investment advisory service approved by the Office, which includes an internal control system in respect of giving advice
company or a public limited company; (8) “ conglomerate ” means a group of legal entities having relationship in respect of shareholding structure, whereby all legal entities in such group have relationship
: Investment and Holding of Assets for a Fund dated 17 July 2006: “In preparing the information required under the first paragraph in respect of the provident fund with multiple investment policies, management
and Exchange Act B.E. 2535 (1992) shall apply mutatis mutandis to a derivative broker in respect of providing operational control and security for information technology . Clause 3. This Notification
firm’s seal (if any) as well as affix signature on every page of the Form of audit firm Profile and Details. In this respect, if the authority to affix signature on the Form of audit firm Profile and
of margin call: (1) the required amount of the initial margin and the maintenance margin . If the derivatives broker calls for a different amount of initial margin or maintenance margin in respect of
the Office 4.1 Eligible applicants (a) In respect of training course or seminar, the organizer such as training institutes or securities companies shall be the person to submit application to the Office
1(1) only. With respect to the calcuation of the amounts under Paragraph 1(2) or (3), where the intermediary engages in the business of investment advisory service as well as the derivatives advisory