securities brokering, dealing, underwriting, mutual fund management, private fund management, securities financing, securities borrowing and lending; (2) “customers/ clients” means natural persons or entities
Section 147 Securities and Exchange Act B.E. 2535 Section 147. During any two year period, if any securities company does not undertake securities business of the type so licensed in the volume as
mutual fund management; “Private fund management company” means any securities company licensed to undertake securities business in the category of private fund management; “Fund manager” means any natural
employee for the benefit of working. 2 “employer” means a person who agrees to recruit the employee to work by paying wages, notwithstanding whether it is a natural person or juristic person, and whether or
Office. (4) giving advice through any media or at any seminars where the media owners, program owners, columnists, website hosts or seminar organizers arrange for derivatives advisers, being natural
Gazette, General Issue, Volume 119, Special Section 32 Ngor, dated 4 April 2002.
baht when combined with deposit , according to the audited financial statements for the most recent financial year; (2) a natural person including the spouse, having any of the following characteristics
customer; “Office” means the Office of the Securities and Exchange Commission. Clause 2 . A management company shall appoint a natural person or a juristic person as its representative pursuant to the
Licensed Businesses, dated 30 December 2003, was published in the Government Gazette on 31 December 2003, Volume 120, Special Section 152Ngor. The Notification of the Securities and Exchange Commission No
to issue this notification in order to monitor and control the offshore investment volume of the securities companies.