which has similar supervision to that of the Office; (6) “Company” means any limited company or public limited company; (7) “Holding company” means any company undertaking core business in holding shares
securities brokerage, securities dealing, or underwriting of investment units is a commercial bank or a financial institution established under specific law whose securities business is limited to debt
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
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
investors: (1) Bank of Thailand; (2) commercial bank; (3) bank established under specific law; (4) finance company; (5) credit foncier; (6) securities company; (7) non-life insurance company; (8) life
of Directors. The information in the said matters shall clarify the directions and the determination to drive the business towards sustainability, as deemed appropriate by the Company, to be used as
securities and; (b) a securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting limited to investment units; (4) “ mutual fund management company
securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting limited to investment units; (4) “ mutual fund management company ” means a securities company
; this is limited to only apply for derivatives dealer registration. Clause 5 2 An applicant for derivatives business operator registration who is a commercial bank, a financial company, a securities
Rules, Conditions and Procedures for Securities Underwriting ; (2) “ offeror ” means the promoters of a public limited company, a company or owner of securities who have offered for sale of securities to