for approval of a person who shall perform duties as auditor of the securities company and the finance and securities company as follows: Clause 1. The Notification of the Office of Securities and
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
law on commercial bank business(CB); □ A finance company under the law on undertaking of finance business, securities business and credit foncier business(FC,FSC); □ A securities company under the law
” means a person who entrusts a securities company to undertake the purchase and sales of securities on his/her behalf; “institutional customer” means a commercial bank or finance company or securities
consent in writing. Clause 7. Derivatives broker may deposit customer’s cash with commercial bank or other bank established under the specific law, or invest in promissory notes issued by finance company or
investors: (1) Bank of Thailand; (2) commercial bank; (3) bank established under specific law; (4) finance company; (5) credit foncier; (6) securities company; (7) non-life insurance company; (8) life
of the insurance company; (b) letter of guarantee of a commercial bank, finance company, or financial institution established under a specific law; (c) other collateral prescribed by the Office
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
Securities Companies. By virtue of the third paragraph of Clause 5 of the Notification of the Ministry of Finance, Re: Prescribing conditions requiring securities company to apply for approval of persons who
incriminated nor prosecuted under the laws, either Thai or foreign, on securities and exchange, finance company, securities company and credit foncier, commercial bank, life insurance, insurance or other laws