securities dealing: (1) commercial banks; (2) financial companies; (3) securities companies; (4) credit foncier companies; (5) insurance companies; (6) juristic person established under the specific law other
person bound to make repayment under a financial instrument as an issuer, drawer, acceptor, giver of aval, endorser, or guarantor, as the case may be. “ unit of collective investment scheme ” mean a unit
therein being that such person shall be registered as a qualified fund supervisor – for the benefit in considering the registration of such qualified fund supervisor, the Office of the Securities and
investment units via the life insurance company; (11) “Derivatives Investor Contact” means a person obtained an approval to be derivatives investor contact according to the notification of the Office of the
service providers relating to derivatives as specified in the notification of the SEC. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the
under the laws of such countries. The person approved or registered by the Department of Insurance to be a sale agent of unit-linked life insurance policy shall be investor contact which performs duty of
investors: (1) Bank of Thailand; (2) commercial bank; (3) bank established under specific law; (4) finance company; (5) credit foncier; (6) securities company; (7) non-life insurance company; (8) life
management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to
and exchange; (4) Life insurance company under the law on life insurance business; or (5) Financial institution established under specific law. Clause 4. The person under Clause 3 will be granted the
December 2001 shall be repealed. Clause 2. In this notification: “Investor contact person” means a natural person who has been approved to be an investor contact person under the Notification of the