of newly issued warrants and underlying shares to the public in the amount of ……………………………...units, and having…………………..……. as a financial advisor, the details of the offer for sale of newly issued
system which can prevent any misconduct that may cause damage to clients or securities holders and such system shall at least cover the following matters: (a) separation of operational units and
the units of a mutual fund or trust certificate of a trust with similar characteristics as a mutual fund under management of the management company which is responsible for the management of such
securities brokerage, securities dealing or securities underwriting of investment units without undertaking custody of clients’ assets; (2) a securities company which obtains a securities business license in
__________________________________________________ _____________________________________________________________________ 6. I/We affirm that the units of the ASEAN CIS have been or would be offered for sale in Home Jurisdiction, and have not been
__________________________________________________ _____________________________________________________________________ Page 4 of 4 Form 35 – retail ASEAN CIS 6. I/We affirm that the units of the ASEAN CIS have been or would be offered for sale in
concerning Rules for Delivery and Distribution of Prospectus and Offering of Investment Units and the Notifications of the Office of the Securities and Exchange Commission, guidelines, orders and circulars
brokerage, securities dealing or undertaking of investment units All mutual fund supervisors No. Nor Jor.(Wor) 6/2564 Re: Delivery of copies of notifications and clarificatory notes to the cross-border
category of mutual fund management All securities companies licensed to undertake securities business in the category of securities brokerage, securities dealing or undertaking of investment units All mutual
research as requested or funded List of Securities Dealings Licensee (Investment Units) Contact The Securities and Exchange Commission, Thailand 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak Bangkok