Category of Derivatives Fund Manager dated 23 January 2004; (2) The Notification of the Securities and Exchange Commission No. KorThor. 56/2547 Re: Licensing Derivatives Business Operator in the Category of
in any material change of the qualifications stated in the application. Clause 26 Any licensee of derivatives business in the category of derivatives brokerage which is a company newly established for
the category of requiring the issuer to distribute the fact sheet, the securities underwriter shall circulate such document with the same material information of the registration statement in the form
paragraph of Clause 5 of the Ministerial Regulation concerning Granting Permission of Securities Business in the Category of Financing B.E. 2555 (2012) , the Capital Market Supervisory Board hereby issues the
: “ intermediary ” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company
(No. 3) B.E 2555 (2012) and the first paragraph of Clause 5 of the Ministerial Regulation concerning Granting Permission of Securities Business in the Category of Financing B.E. 2555 (2012) , the
. Liabilities and shareholder’s equity Liabilities 12. Borrowings means all category of borrowings whether domestic and abroad, namely financial institution borrowings, bank overdraft, bill payable, promissory
Securities and Exchange Commission No. KorThor. 5/2539 Re: Rules, Conditions and Procedures for Undertaking of Securities Business in the Category of Securities Financing dated 13 July 1996; (6) Clause 2 and
Commission No. KorThor. 7/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer By virtue of Section 6, Section 9 and the third paragraph of
management company” means any securities company licensed to undertake securities business in the category of mutual fund management; “Private fund management company” means any securities company licensed to