client’s financial information to other persons, unless disclosure is made as a result of its obligation for disclosure; (4) the derivatives broker shall not represent any fixed rate of profits or returns on

beneficiary of a collective investment scheme established under foreign law, either in the form of company, trust or others. Clause 3 This Notification shall apply to the licensees of the following licenses: (1

granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance

category of private fund management which is a financial institution established under other laws or also conducting other types of securities business. Clause 11 In engaging in proprietary trading through

on securities and exchange(SC); □ A life insurance company under the law on life insurance business; □ A financial institution established under specific law according to the Notification of the

management. Clause 4. Those licensed to operate the following businesses shall pay the annual fixed fees to the Office at the specified rates as follows: (1) Dealing of debt securities, at the rate of Baht

financial institution established under a specific law and treated as a financial institution under the Law on Loan Interest of Financial Institutions ; (3) Islamic Bank of Thailand; “ obligor ” means a

holder as the owner or beneficiary of a collective investment scheme established under foreign law, either in the form of company, trust or any other form. Clause 3 A licensee shall pay to the SEC Office a

Section 93 Securities and Exchange Act B.E. 2535 Section 93. Any person wishing to act on behalf of a company established to undertake securities business under foreign law by setting up a

Exchange Commission No. Kor Thor. 7/2539 Re: Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the