(2003) which contains certain provisions in relation to the restriction of rights and liberty of persons which Section 29, in conjunction with Section 33, Section 34, Section 36, Section 41, Section 43

private fund management company [unless indicated otherwise], including: (a) a securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting of any

company [unless indicated otherwise], including: (a) a securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting of any securities and; (b) a

person to be an executive of the company or in cases other than (2), the derivatives business operator shall proceed the followings: (a) in case of an appointment of a person to be director or manager, the

virtue of Clause 5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to

Companies ; (2) “ securities ” means any securities which are not debt instruments or investment units; (3) “ securities company ” means a company licensed to undertake securities business in the category of

opening accounts or engaging in business relationships with a securities company, but not including provident funds under the provident fund laws; (3) “ultimate beneficial owner of the transactions” means a

to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a

Section 34(2) of the Derivatives Act B.E. 2546 (2003) which contains certain provisions in relation to restriction of rights and liberties of persons which Section 29, in conjunction with Section 33

as securities business operator in the category of mutual fund or private fund management or under custody of a securities company in its position as fund supervisor or custodian; (2) a financial