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
” 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
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
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
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
issued by a commercial bank, a commercial bank established under specific law, or a finance company; (c) Treasury bill, government bond, Bank of Thailand bond and the Financial Institutions Development
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
securities brokerage or securities dealing, as follows: (a) a commercial bank; (b) a finance company; (c) a securities company ; (d) a credit foncier company; (e) an insurance company; (f) a juristic person