” means a person who entrusts a securities company to undertake the purchase and sales of securities on his/her behalf; “institutional customer” means a commercial bank or finance company or securities
of purchaser, representing the right of the holder of such instrument to receive money or other benefit. "underwriter" means any person who underwrites the sale of securities to the public. "prospectus
instruct such person to take corrective action, or act or omit from any act to comply with this Notification. Clause 35 The derivatives broker shall procure information or documentation relating to the
fund management company to manage or to procure the benefit from property which the mutual fund purchase or rent; “Selling and redemption supporter” means any person which mutual fund management company
category of mutual fund or private fund management, or derivatives investment management company; “ fund ” means mutual fund and private fund; “ investor ” means any person interested in investing in capital
clearer understanding. Dishonesty defined as the dishonesty as prescribed in Section 1 of the Criminal Code B.E. 2499 (1956) which means doing any act in order to procure, for himself or the other person
intermediary ; “ executive ” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
Commissions (IOSCO) . Division 2 Board of directors and senior management responsibility Board of directors (“ Board ”) and senior management of the intermediaries shall be a responsible person for determining
holding in, securities, derivative, or any other properties, or invest in or procure for profit by other means. "private fund management" 2 means the management of funds of a person or group of persons who
Organization and State Enterprise under the relevant incorporating law, including state-owned business enterprise which is not a juristic person; (7)3 repealed . (8) “ Stock Exchange ” means the Stock Exchange