granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for
characteristics and natures of transactions to be regarded as “suspicious transactions;” (2) have in place monitoring systems to promptly identify or detect suspicious transactions; (3) arrange to have proper
contracts are not subject to the Derivatives Act B.E. 2546 (2003): (1) contracts that are considered securities ; (2) contracts of purchase or sale of securities for which the settlement is made via a
hasbasic understanding of general laws related to the profession. The qualifications will be considered from the personnel’s: □(2.1) First name, last name, and education; □(2.2) Work experiences, given with
on such appraisal, with the details presented in Attachment 4. In the case of 5.2 and 5.4, if an appraisal of foreign assets is involved, it shall be made by the person considered by the Company and
. KorNor. 22/2552 Re: Determination of Investment Management not being regarded as Securities Business in the Category of Private Fund Management _____________ By virtue of Section 4 and Section 14 of the
Rules, Conditions and Procedures for the Establishment and Management of Mutual Funds for Institutional Investors or Ultra High Net Worth Investors . (2) the foreign service provider has been considered
of the existing trade association as approved by the general meeting of the trade association (if any). Clause 3 After the SEC Office has received the application and considered that the regulations of
customer shall not be regarded as asset subject to seizure or attachment in the civil case and shall not be regarded as the bankruptcy estate which may be distributed among creditors of the derivatives
considered that an applicant has correctly and completely qualified with criteria as prescribed under Clause 3 and Clause 4, the SEC Office shall make the proposal to the Securities and Exchange Commission for