licensed to undertake securities business in the category of securities finance business, mutual fund management, securities brokerage, investment advisory service, securities dealing or securities
following cases: (1) those persons appointed by an intermediary in the following categories: (a) securities finance; (b) venture capital management; (c) securities borrowing and lending; (d) inter-dealer
attached hereunder: “ intermediary ” means a securities company or a derivatives intermediary. “ fund management company ” means a securities company licensed to undertake securities business in the category
approval term, considering the graduation year, in either one of the following fields: (i) Business administration, finance, accounting or economics; (ii) Any field with at least half of the curriculum
; Secretary General, The Thai Bankers’ Association; Secretary General, The Foreign Banks’ Association Being in the field of business administration, finance, accounting, economics or any field with at least
business administration, finance, accounting, economics or other academic degrees accepted by the Office. A bachelor’s degree in any field. - - 2. Work experience accepted by the Office in connection with
; “State agency” means central administration, regional administration, local administration, financial institutions development fund, Bureau of Crown Property and other agency as specified by the Office
Ministry of Finance; (4) Do not have directors, managers or persons who are ultimately responsible for management of the fund supervisor as delegated by the board of directors of the fund supervisor as a
Securities Business in the Category of Mutual Fund Management _____________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992) and Section 96 of the Securities and Exchange Act B.E
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