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
issued by a commercial bank, a commercial bank established under specific law, or a finance company; (c) Treasury bill, government bond, Bank of Thailand bond and the Financial Institutions Development
“ derivatives broker ” means a person licensed to undertake derivative business in the category of derivatives brokerage, excluding a commercial bank under the law on financial institution business; (2) “ net
, excluding a securities company which is a commercial bank under the law on financial institution business , life insurance company under the law on life insurance and financial institution established under
derivatives broker may invest or deposit a client's cash if complying with the following rules: (1) depositing with a commercial bank or other banks established under specific law or investing in certificates
a legal entity in any of the following categories: 7 (1) a commercial bank under the Commercial Banking Act; (2) a finance company or credit foncier under the Undertakings of Finance Business
insurance companies; (f) life insurance companies; (g) juristic persons in the category of corporation; (h) mutual funds; (i) private funds; (j) Government Pension Fund; (k) provident funds; (l) Bank of
fund management; “Office” means the Office of the Securities and Exchange Commission. Clause 2. Any commercial bank under the laws governing commercial banks, finance company under the laws governing the
by the definition of “control” under Section 89/1 of the Securities and Exchange Act B.E. 2535 (1992) . “ financial business ” means commercial bank, finance company, credit foncier, securities company
foncier businesses, the commercial banking laws, the life insurance laws or any laws relating to financial businesses of similar natures, regardless of such laws being Thai or foreign, by any competent