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
to make the management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of
Office of the Securities and Exchange Commission Notification Re: Approval of Auditors of Securities Companies and Finance and Securities Companies No. OrThor/Nor. 7/2541 _____________ Section 106 of the
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
Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and
the Ministry of Finance concerning Prescription of Conditions for Securities Companies to Apply for Approval of Person to Be Major Shareholder , mutatis mutandis . In this regard, in case such person is
Ministry of Finance concerning Prescription of Conditions for Securities Companies to Apply for Approval of Person to Be Major Shareholder , mutatis mutandis . In this regard, in case such person is a
Category of Securities Finance By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), in conjunction with Clause 4 of the Ministerial Regulation No. 7 (B.E. 1996) issued under the
the protection and maintenance of the best interest of investors under acceptable risk exposure. Therefore, in the supervision of the business of mutual fund or private fund management, it is necessary
where the securities company encounters financial problems, the clients’ money under custody of the securities company shall not be protected under the Deposit Protection Agency Act; (3)2 provide a