service providers, such service providers shall have financial stability with capability and readiness to provide service and comply with rules specified by the SEC or the Office and code of conduct
, such service providers shall have financial stability with capability and readiness to provide service and comply with rules specified by the SEC or the Office and code of conduct specified by
behalf of the customers; “Financial institution” means any financial institution under the laws governing loan interest rates of financial institutions; “Office” means the Office of the Securities and
loan interest rates of financial institutions; “Office” means the Office of the Securities and Exchange Commission. Clause 3. An applicant seeking an approval to act as a mutual fund manager shall have
, excluding the branch office of [an intermediary which is] financial institutions established under other laws. Clause 4 In this Notification: “intermediary” means a securities company and a derivatives
The Office of the Securities and Exchange Commission (Translation) PAGE (Translation) 7 Readers should be aware that only the original Thai text has legal force and that this English translation is
person, and has no reasonable grounds to be believed that its financial condition has worsened significantly during the course of one year preceding the date when the Office considers the qualifications
The Office of the Securities and Exchange Commission (Translation) (Translation) 5 Readers should be aware that only the original Thai text has legal force and that this English translation is
The Office of the Securities and Exchange Commission (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference