e-service Online Submission See canceled document Business Operation Rules >> Branches (Section 92) Type Title Section See Document Status Notified Date Effective Date 1. Act Securities and
, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party dated 1 October 2018; “intermediary” means a securities company or derivatives intermediary, excluding venture
, received, stored or processed through electronic procedures. (3) “securities company reporting system” means https://publish.sec.or.th/nrs/3866pe.doc 7453pe.doc its possession ; 2. investing in or holding
company licensed to undertake derivatives business; (2) “executive” means manager or person with power of management; (2/1) 1 “manager” means any person assigned by the board of directors of the company to
2005. Notified this 23th Day of November 2004. Thirachai Phuvanatnaranubala (Mr. Thirachai Phuvanatnaranubala) Secretary-General The Office of the Securities and Exchange Commission Risk Disclosure
statement that contain the minimum aspect of disclosure as set out under the guideline attached hereto. (Translation) -2- Clause 3. This Notification shall come into force as from 1 April 2005. Notified this
as from 1 April 2005. Notified this 23th Day of November 2004. Thirachai Phuvanatnaranubala (Mr. Thirachai Phuvanatnaranubala) Secretary-General The Office of the Securities and Exchange Commission
: “Management company” means a securities company licensed to undertake securities business in the category of mutual fund management. “Closed-end fund” means a mutual fund which does not accept the redemption of
Management of Mutual Funds (No. 3), dated 1 November 1999, the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Management company