person licensed or registered under the law to manage funds or investments; or (d) in the manner which does not take advantage of other persons or in the manner as specified in the notification of the SEC
receiver who shall manage the assets possessed by the intermediary under receivership by court order in accordance with the Bankruptcy Law. 4 Clause 11 The SEC Office shall complete the segregation and
receiver who shall manage the assets possessed by the intermediary under receivership by court order in accordance with the Bankruptcy Law. 4 Clause 11 The SEC Office shall complete the segregation and
43 and Section 45 of the Constitution of the Kingdom of Thailand so permit by virtue of law, the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In
, Section 34, Section 36, Section 41, Section 43 and Section 45 of the Constitution of the Kingdom of Thailand so permit by virtue of law, the Office of the Securities and Exchange Commission hereby issues
relevant Authority to manage Covered Funds and that meets the applicable conditions set out in Appendix B to this MoU. (f) “Cross-border On-site Visit” means any visit by one Authority to the premises of a
specific law which are not persons under (9); (7) Bank of Thailand; (8) International financial institutions; (9) Government agencies and state enterprises under the laws on budgetary procedure; (10) The
application, such person has never been removed from the positions of chairman, director, manager, or person empowered to manage the securities company, the finance company pursuant to law on undertaking of
Kingdom of Thailand so permit by virtue of law, the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: “intermediary” means a securities company and a
Thailand so permit by virtue of law, the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: “intermediary” means a securities company and a derivatives