granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance
Financial Institution System; (2) Notification of the Securities and Exchange Commission on Rules, Conditions and Procedures on Establishment and Management of Mutual Fund to Solve the Problem in Financial
companies shall not allow the use of anonymous or fictitious names in opening of accounts or conducting securities transactions. Clause 12. In case where an account is opened by a financial institution in
on securities and exchange(SC); □ A life insurance company under the law on life insurance business; □ A financial institution established under specific law according to the Notification of the
plans for the clients as well; (9) “ financial institution ” means a financial institution having any of the following characteristics: (a) a commercial bank under the law on financial institution
well; (9) “ financial institution ” means a financial institution having any of the following characteristics: (a) a commercial bank under the law on financial institution business ; (b) financial
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
estate or leasehold right of Property Fund for Solving Financial Institution Problems or Property and Loan Fund; (5) “Register of Persons Qualified to be Property Fund Manager” means the list of persons
behalf of the customers; “Financial institution” means any financial institution under the laws governing loan interest rates of financial institutions; “Office” means the Office of the Securities and
management; “Office” means the Office of the Securities and Exchange Commission. Clause 3. This Notification shall not apply to any private fund management company which is a financial institution established