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

; (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

cover the following general matters: · ensure firm’s commercial considerations do not override the quality of work performed; · The firm’s performance evaluations, compensation, and promotion (including

(1992); “Commercial Bank” means commercial bank under the law on commercial bank business. Chapter 1 Criteria for Approval to Use Derivatives Investor Contact Service Clause 3 . Derivatives broker shall

loan agreements entered by commercial banks or finance companies pursuant to the Law on Commercial Banks or the Laws on Finance Business, Securities Business and Credit Foncier Business. (5) derivatives

issues the following regulations: Clause 1. The following juristic persons shall be institutional investors under Section 3 of the Derivatives Act, B.E. 2546 (2003): (1) a commercial bank; (2) the Bank of

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

. The following juristic persons shall be institutional investors under Section 3 of the Derivatives Act, B.E. 2546 (2003): (1) a commercial bank; (2) a derivatives business operator; (3) a derivatives

and Exchange Commission. Clause 3. Fund supervisor shall be commercial banks under the law on commercial bank, finance companies under the laws on undertaking of finance business, securities and credit

the registration as a derivatives business operator must be a juristic person as follows: (1) a commercial bank under the law on commercial bank; (2) a financial company under the law of finance