establishment of an association related to securities business to the SEC Office as per the Form specified by the SEC Office, together with the following evidentiary documentation: (1) the regulations of the
). Clause 3. In this Notification: The term “executive” shall have the same meaning with the definition of such term as specified in the Notification of the Capital Market Supervisory Board concerning other
) “Subsidiary” means subsidiary company under Section 89/1; (2) “Connected person” means connected person as specified by the Notification of the Capital Market Supervisory Board concerning rules on connected
operators, and asset management companies to be unable to submit reports or calculate the net asset values (NAV) of mutual funds within the specified timeframe, the SEC has therefore granted an extension for
with the specified rules within 15 days,” released on 13 January 2024. https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10450&NewsNo=13&NewsYear=2024&Lang=EN.- SEC News No. 227/2023: “SEC orders
approval for an offer for sale of debt securities under this Notification shall have the following status and shall have complied with the rules, conditions and procedures specified in this Notification. In
, if such persons are considered as associated persons or related persons, such relationship shall be specified; 2.4 REIT asset information: (1) specify details of assets categorized by their categories
following: • Types of fund shall be classified in accordance with the requirements specified in the Notification on Investment of Funds regarding fund labeling (such as fixed income funds, money market funds
market product s including [existing] clients of an intermediary . “ institutional investor ” means an institutional investor as specified in the Notification of the Securities and Exchange Commission