instruments, but not including any company licensed to undertake securities business in the category of brokerage, dealing or underwriting of investment units and any financial institution which is under the
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
, 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
Section 90 Securities and Exchange Act B.E. 2535 Section 90. Securities business can be undertaken only by formation of either a limited company or a public limited company, or by a financial
company or a public limited company which is established to undertake securities business in the category of securities finance shall be as follows: (1) a financial institution under the Law on Loan
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
Securities and Exchange Commission; □ A limited company or a public limited company whose main principles are in the business of securities or financial instruments custody and of other businesses as approved
offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an
Company Limited Statements of changes in shareholder’s equity For the period of… ……………until…………………...20.. and ......20... Consolidated financial statement (Unit:Baht) Ordinary share Stock rights and
plans for the clients as well; (9) “ financial institution ” means a financial institution having any of the following characteristics: (a) a commercial bank under the law on financial institution