(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
thereof: “ Clause 51/1. In calculating investment limits for compliance with the requirements under this Part in respect of the provident fund with multiple investment policies, management company shall
Office of Securities and Exchange No. SorThor/Nor. 34/2547 Re: Operational Control and Security for Information Technology of a Securities Company dated 20 July 2004 and The Notification of the Office of
respect of executive director, director authorized to sign on behalf of the company, independent director, manager or any person holding equivalent position called otherwise: 1. At least a bachelor’s degree
Shareholders’ Meeting by the Management Company and Information Disclosure _____________ By virtue of Section 123 of the Securities and Exchange Act B.E. 2535 (1992) and Clause 2(1), Clause 8, Clause 10, Clause
following details: (1) name, address, and license number of the investment advisory company including other business operation of the company (if any), which shall be specified only in respect of the category
risk haircuts with respect to undertaking securities business or any other operation of a securities company ; (8) “ collateral ” means total sum of pledged assets for exposure to derivatives according
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
financial institutions: (a) a commercial bank under the Law on Financial Institution ; (b) a life insurance company under the Law on Life Insurance ; (c) a financial institution established under any other
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