Establishment and Management of Mutual Funds, dated 16 December 1998, as amended by the Notification of the Securities and Exchange Commission No. KorNor. 23/2542, Re: Rules, Conditions and Procedures for
Securities; “big retail investor” shall have the same definition as specified in the Notification of the Capital Market Supervisory Board concerning Establishment of Mutual Funds for Retail Investors and Non
UNOFFICIAL TRANSLATION (SEC logo and contact information) 8 August 2014 To Managers Securities companies Asset management companies Derivatives intermediaries No. Kor Lor Tor. Kor Thor. (Wor) 23/2557
the registration certificate of juristic person / documents related to establishment of a group of persons; (7) Copy of the financial statements for the three most recent financial years or a copy of
speech on the objectives and rationale for establishment of TRBN was given by the Minister of Finance, Uttama Savanayana .SEC Secretary-General Ruenvadee Suwanmongkok said “what SEC most expects from
Management Companies and asset management companies . The survey results therefore provided information revising relevant regulations to align with international standards, to suit the nature of business and
the case of Thai national holiday, selling agent may exercise own discretion whether to trade investment units providing that the service information must be disclosed to investors in advance. In