scheme shall submit information under (1) to securities company within the same period as that person responsible for undertaking of foreign collective investment scheme having duty to submit to investor
’ assets on a monthly basis and file it with the SEC Office within the seventh day of the following month. In this regard, business operators which have the duty to prepare and file the reports in Paragraph
have duty to file the reports under (2) or (3) with the Office shall file such reports even though there is no transaction during such period. Clause 3/1 . In case where securities companies wish to file
as attached to this Notification by the seventh day of the following month. In this regard, the securities companies which have duty to file the reports under (2) or (3) with the Office shall file such
this Notification by the seventh day of the following month. In this regard, the securities companies which have duty to file the reports under (2) or (3) with the Office shall file such reports even
or director of derivatives exchange, or derivatives clearing house; and (b) the action taken according to (a) due to the performance of duty as a staff holding a position that affects the
be; (3) the CIS operator shall deliver the information under sub-clauses (1) or (2) to the securities company within the same period as having duty to deliver to investors or submit to home regulator
Approval and Duty Performance of CIS Operator __________________ Clause 4 Unless specified otherwise in this Notification, in offering for sale of units of a collective investment scheme, the CIS operator
consideration 3. Approved the appropriate price range of the value of assets disposal according to opinion of an Independent Financial Advisor in a total of 1,636.50 - 1,684.50 million baht and set criteria for