requirement to have the summary of key investment information sent to unitholders and SEC. Meanwhile, the proposed amendments to the regulations related to the establishment and management of infrastructure
information of the provident fund members, to the provident fund committee, from which the members of the provident fund can then select. The investment management companies must also present a summary of the
summary of the important information of their investment policy, for the members of the provident fund to have adequate information before investing. The investment management companies must also provide
brokerage, dealing or underwriting of investment units (LBDU); (8) Registration of members of provident fund/ unit holders of mutual fund should be prepared accurately and completely; (9) Every operation
in the category of brokerage, dealing or underwriting of investment units (LBDU); (8) Registration of members of provident fund/ unit holders of mutual fund should be prepared accurately and completely
hundred million baht for: a. securities dealing business; b. securities underwriting business; c. any other type of securities business with the following characteristics: 1. keeping the client’s assets in
Notification: “Securities company” means a company licensed to undertake securities business in the category of securities brokerage, securities dealing and securities underwriting which is not limited to debt
regulations: Clause 1. In this Notification: “Securities company” means a company licensed to undertake securities business in the category of securities brokerage, securities dealing and securities
Commission OrThor. 21/2543 Re: Guidelines for the Operation Control for the Securities Brokerage and Dealing of Securities That are Not Debt Instruments 11/10/2000 2. Circular 12/2545 22/03/2002