securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “ institutional client ” means a person who makes transactions with a securities company in
1. This Notification shall come into force as from 1 January 2001. Clause 2. In this notification, unless the contrary intention appear, “Securities” means the securities which are not debt
Thong-ek Law Offices Limited.. Owing to the fourth amendment of the Securities and Exchange Act which comes into force in B.E. 2551 (2008), the fifth amendment of the Securities and Exchange Act which
where the private fund management company is a limited company or public limited company under clause 2 (6) of Ministerial regulations No. 15 (B.E. 2543) in accordance with the provision of the Securities
securities and; (b) a securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting limited to investment units; (4) “ mutual fund management company
securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting limited to investment units; (4) “ mutual fund management company ” means a securities company
period, as previously issued, included a qualified opinion, a disclaimer of opinion, or an adverse opinion and the matter which gave rise to the modification is unresolved ( 2.3.1 corresponding figures are
responsibility in managing the company, regardless of the job title; (7) “Management Company” means the property fund management company; (8) “Company” means any limited company or public limited company and shall
they are neither inconsistent with nor contrary to the provisions of this Notification until notifications, orders and circulars issued under or prescribing guidelines in compliance with this
securities company. O other cases (please specify)……………………….………... O no 6.8 Being a manager or a person with managing power of a partnership or a limited company in which he or she or the person or partnership