results in an offsetting of the position or by any other means under the rules of a derivatives clearing house. “securities” means securities under the Securities and Exchange Act. “Stock Exchange” means
; (6) Being an incompetent or quasi-incompetent person; (7) Being a person whose name appears on the list of persons considered by the Stock Exchange of Thailand to be unsuitable to act as an executive
; (3) “Commercial bank” means any commercial bank under the law on commercial banking and any juristic person established under foreign laws which is permitted by such laws to undertake commercial
person obtaining the commercial banking business license under the law on financial institutions. “ net capital ” means the liquid capital deducted by risk haircuts . “ liquid capital ” means liquid assets
established under specific laws or any legal entity licensed to undertake finance or commercial banking business. “electronic data” means statements that are created, sent, received, stored or processed through
derivatives clearing house. “securities” means securities under the Securities and Exchange Act. “Stock Exchange” means the Stock Exchange of Thailand under the Securities and Exchange Act. “securities trading
guidelines for investor contacts; (c) Relevant laws such as anti-money laundering law, law governing commercial banking, etc. The Office will not determine attendance hours of the activities under 2.1 and 2.2
within the GBA via banking system. 2 A Thai feeder fund investing in a Hong Kong MRF-eligible master fund is deemed to have substantially complied with Clause 2.1.4.1 – 2.1.4.3 in Division 2 of Appendix 3
continuing a relationship, which should be discontinued. 7 Does the firm have any particularly risky clients or risky industry (e.g. Finance and Securities, Banking, Insurance, Energy & Utilities, Mining
หลัง (ข) นิติบุคคลที่จัดตั้งตามกฎหมายต่างประเทศซึ่งสามารถประกอบธุรกิจหลักทรัพย์ประเภทที่กำหนดใน (ก) หรือธุรกิจวาณิชธนกิจ (investment banking) ได้ตามกฎหมายของประเทศนั้นและอยู่ภายใต้การกำกับดูแลของหน่วยงาน