the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas
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
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
” means any securities clearing house under the Securities and Exchange Act. “institutional investor” means any investor which is a financial institution under the Commercial Banking Act, securities company
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 16. A derivatives business operator shall be a limited company or a public limited company, except for a derivatives advisor which may be an
Shareholders’ Meeting by the Management Company and Information Disclosure _____________ By virtue of Section 123 of the Securities and Exchange Act B.E. 2535 (1992) and Clause 2(1), Clause 8, Clause 10, Clause
2000 shall be repealed. Clause 2. In this Notification, “Mutual fund manager” means a director or an employee of a management company who is authorized by the management company to make decisions
appoints as an agent to perform duties relating to the custody of mutual fund assets; “Management company” means any securities company licensed to undertake securities business in the category of mutual
. ----------------------------- Notification of the Capital Market Supervisory Board No. Tor Thor 9/2551 Re: Custody of Client Assets of a Securities Company ________________________________________________ By Virtue of Section 16/6 and
. Maintenance of status 1. The Contacts being approved on a basis of being an executive of a securities company, mutual fund manager or private fund manager will be granted renewal of the approval if they