infrastructure fund may be made; (5) investment in the units of a mutual fund for which the intermediary has obtained a permission from the SEC https://publish.sec.or.th/nrs/6497pe_r.pdf -ร่าง- maturity; (4

must not have untrustworthy characteristics and must perform fiduciary duty;             4.  Shares must be sold through an intermediary that is responsible for conducting know-your-customer screening

01/03/2017 2. Notification of the Securities and Exchange Commission  KorThor. 7/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer

e-service Online Submission Derivatives Dealer >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission  KorThor 3/2551

e-service Online Submission See canceled document Securities Dealer Business >> Dealer of capital market product denominated in foreign currency   Type Title Section See Document Status Notified Date

/ 18-2 Application for Establishment of Branch Office or Conversion of Online Branch Office to Full Branch Office Securities company / derivatives intermediary Name of Company

, Deputy Secretary-General, in charge of Legal Development and Enforcement; 2. Mrs. Paralee Sukonthaman, Deputy Secretary-General, in charge of Intermediary and Market Supervision, Investment Management

borrowing and lending, and joint venture management. As a result, any intermediary wishing to operate only brokerage business, for example, would have to meet the high minimum paid-up capital rule despite its

fund scheme is not allowed.  In addition, should past success of any trigger fund is part of an advertisment, the responsible intermediary must also disclose accurate and complete information on all

: Clause 1 In the case where an intermediary having outsourced the function which is investment management of mutual fund or provident fund or derivatives investment management to a foreign service provider