business under the first paragraph does not include the lending of money for purchasing, selling or exchanging securities in the course of securities brokerage or securities dealing business or the purchase
in the purchase, sale or exchange of securities in the normal course of business in consideration of a commission, fee or other remuneration therefrom. "securities dealing" means a purchase, sale or
is adequate to personnel and the undertaking of business. Chapter 3 Fund Management Operation System 3.1 Accepting of Purchase or Redemption Order of Investment Units Objective A management company
brokerage" means brokering or representing any person in the purchase, sale or exchange of securities in the normal course of business in consideration of a commission, fee or other remuneration therefrom
the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. The person who undertakes, for itself, in offering for sale or purchase of
Forms of Securities Companies dated 28 November 2001 shall be repealed. Clause 2. In this Notification: “securities company” means a legal entity licensed to undertake securities business in the category
contracts are not subject to the Derivatives Act B.E. 2546 (2003): (1) contracts that are considered securities ; (2) contracts of purchase or sale of securities for which the settlement is made via a
as specified in the contract, or to demand the other party to enter into a contract under subsection (1) or (2). “derivatives business” means the undertaking to provide services as the following: (1) a
in investment Securities 5. Investments in subsidiary and affiliated 6. Receivables from Clearing House 7. Securities business receivables and Derivatives business receivables 8. Others derivatives
Custodian dated 30 March 2001. Clause 2. In this Notification “Management company” means securities company licensed to undertake securities business in the category of private fund management. “Manager