authorised person of CIS Operator Please print this checklist and include it as part of the package of this form Form updated as of June 2021 Page 2 of 5 Form 69 – CIS full Registration Statement for an offer
Operator Please print this checklist and include it as part of the package of this form Registration Statement for an offer for sale of units of foreign collective investment scheme Part I Fund Fact Sheet
appointment of an authorised person of CIS Operator Please print this checklist and include it as part of the package of this form Form updated as of June 2021 Page 2 of 5 Form 69 – CIS annually update
offered in Thailand This form shall be signed either by a CIS Operator or an appointed intermediary of the CIS Operator and shall be submitted to the SEC Thailand within 45 days after the last day of each
SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in
underwriting limited to investment units (LBDU) and derivatives brokerage by requiring the business operator set up a compliance unit with clear duty and responsibility in writing and having adequate number of
agent; (3) a mutual fund supervisor; (4) a private fund custodian; (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person
supervisor; (4) a private fund custodian; (UNOFFICIAL TRANSLATION) - 2 - (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person
private fund custodian; (UNOFFICIAL TRANSLATION) - 2 - (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person assigned by such
Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities