shall be repealed. Clause 3 In this Notification: (1) “ derivatives broker ” means a person who is licensed to undertake the derivatives business in the category of derivatives brokerage; (2) “ manager
dated 15 September 1992 shall be repealed. Clause In this Notification: “ Office ” means the Office of the Securities and Exchange Commission. Clause 2/1 This Notification shall not apply to the
into force from 1 September 2009. Clause 2 The following Notifications shall be repealed: (1) Notification of the Capital Market Supervisory Board No. TorThor. 10/2551 Re: Rules, Conditions and
2000 shall be repealed. Clause 2. In this Notification, “Mutual fund manager” means a director or an employee of a management company who is authorized by the management company to make decisions
issuing company or securities company, or his obtaining approval has been suspended or revoked by the SEC Office, or he possesses a characteristic which causes the approval terminated, or he has been being
No. SorThor. 23/2549 Re: Calculation and Report of Net Liquid Capital Calculation dated 8 May 2006 shall be repealed and replaced with Part 3, Page 1 to Page 3 of the Form attached hereto. Clause 2
revoke the registration of fund supervisor of such person. In cases where the revoked person under the second paragraph has duties to continue as a fund supervisor of any mutual funds, such revoked person
in the manner of deceit, fraud or dishonesty relating to offence against property; (5) being a person under the following conditions: (a) his obtaining approval has been suspended or revoked by the SEC
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under the relevant incorporating law, including state-owned business enterprise which is not a juristic person; (7)3 repealed .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
Technology Security of Securities Company dated 3 August 2009 shall be repealed. Clause 2 This Notification shall come into force as from 1 September 2017. Notified this 12th day of September 2016. (Mr. Rapee