333/3 Vibhavadi-Rangsit Road, Chomphon , Chatuchak Bangkok 10900, Thailand Tel. +66 1207 or +66 2695 9587 Fax. +66 2695 9793 e-mail: oca@sec.or.th 1. Applicant details Mr. Miss Mrs. Other (please
Funds under HK-TH MRF in Thailand (Inbound) 1.1 Applicant The Hong Kong Covered Management Company or its local representative1 shall file an application for an offering for sale of the Hong Kong Covered
Exchange Commission. Clause 3. An applicant seeking an approval to act as a mutual fund manager shall have the following qualifications; (1) Being a permanent staff member who is able to work full-time for a
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
under the application for approval as prescribed in Part 2: (1) although the applicant or the offer for sale of securities has characteristics or forms in accordance with the requirements or conditions
shall be paid within ten days as from the date the SEC Office notifies the result of preliminary consideration that applicant possesses qualification and does not possess prohibited characteristics: (1
Commission) Certified Statement Form Relating to Acting in Compliance with Related Laws of Applicant for Custodian of Private Funds 9. Report/Form (Notification of Securities and Exchange Commission) Form
Handbookforapprovalofforeignauditors , b) inspecting audit works performed by the applicant to ensure the compliance with the ISAs, and c) inspecting the audit firm's quality control system to ensure compliance
characteristics. − − ✓ 10 In case of applying for a new approval after completing revocation term due to possession of prohibited characteristics, the applicant must have the same https://www.sec.or.th/EN/Documents