Approval for Undertaking Securities Business B.E.2551 (2008), the Securities and Exchange Commission hereby issues the following regulation: Clause 1. Financial institutions established under a specific law
Operator Instruction 1. An applicant for registration to be a general derivatives business operator shall specify the detail only in Part I and Part III. 2. A juristic person established under foreign law
Institution , a life insurance company under the Law on Life Insurance , and a financial institution established under other laws: (1) securities financing business; (2) brokerage, dealing or underwriting of
under the law on life insurance or a financial institution established under other laws, as follows: (1) a securities company in the category of securities brokerage, securities dealing or securities
in the category of derivatives dealer under the law of such foreign country; this is limited to only apply for derivatives dealer registration; (4)1 financial institution established under specific law
established under following Notifications: (1) Notification of the Securities and Exchange Commission on Rules, Conditions and Procedures on Establishment and Management of Property Fund to Solve the Problem in
) measures on the use of cloud computing under the policy established in Clause 8(1) which covers: (a) an agreement between the cloud provider and the intermediary which contains at least the following matter
; “ mutual fund for a specific purpose ” means any mutual fund established under the following Notifications: (1) Notification of the Capital Market Supervisory Board regarding Rules, Conditions and Procedures
governance meet the following criteria in order to comply with the governance of information technology of the intermediary established under Clause 5: (1) policy on the governance of information technology
prior to performing function, except for any of the following cases: 1. the intermediary is a financial institution established under other laws and licensed to undertake securities business as prescribed