. 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
Consider and beware of firm’s ethics and professional skepticism in context of being “business advisers” 3 How does the firm prevent undue influence being exercised where significant level of non-audit
operator registration under Clause 2 (1) and (2) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the category under the relevant supervisory law ; (2
gold derivatives brokerage business upon meeting the following requirements: (1) Having paid-up registered capital of no less than one hundred million (100,000,000) baht; (2) There being no event which
company, or a financial institution established under a specific law under Clause 4(1) (2) and (4) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the
person who is approved by the SEC Office under this Notification shall be exempted from being regarded as securities business in the following categories during the period of such regulatory sandbox, but
shall be exempted from being regarded as derivatives business in the following categories during the period of such regulatory sandbox , but only within the units or departments providing services under
; Secretary General, The Thai Bankers’ Association; Secretary General, The Foreign Banks’ Association Being in the field of business administration, finance, accounting, economics or any field with at least
shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement
without submitting an application for approval under Clause 12 if such person meets the following criteria: (1) being capable of operating investment management business legally under the law of the