must be filed with the DSI. Taking into account the safety of informer, a provision on anonymity of the informer is included in cases where such person prefers non-disclosure of his or her identity
Personnel in the Capital Market Business dated 3 June 2014, and were thus suspended as securities investment consultant. The person in (2) was in contravention of Clause 31(1) and Clause 33(3) of the
” means a securities company licensed to undertake securities business in the category of private fund management; “Marketing Representative of Private Funds” means a person appointed by a private fund
Fund Management Company” means a securities company licensed to undertake securities business in the category of private fund management; “Marketing Representative of Private Funds” means a person
://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-deri.doc Microsoft Word - enactment-specialjuristicperson1997-amended 061120 the SEC Office; (2) any person who is in possession of property or
incompetent in the https://www.sec.or.th/EN/Documents/ActandRoyalEnactment/Act/act-derivatives2003-amended.pdf translate-spv.docx the period prescribed by the SEC Office; (2) any person who is in possession of
) We, [Name of the juristic person or non-juristic group of persons in Thai and English], …………………………………………………………………………………………………………………………………….………………..……… having an office at
those applied to person who works in securities business; (3) added clarity on the protection that investors will receive in case of the bankruptcy of the securities depository center as well
of juristic person of PCL, Mr. Manish Gupta, Chief Financial Officer of PCL and PAPL and Mr. Amit Prakash, Managing Director of PTL, and director and representative of juristic person of PAPL in