Operator currently licensed or authorised to conduct fund management in the jurisdiction of its principal place of business? Yes No If “No”, please specify
by the SEC Office to have important rules related to supervision of investment management equivalent to the rules governing securities companies licensed to undertake securities business in the
the SEC Office to have important rules related to supervision of investment management equivalent to the rules governing securities companies licensed to undertake securities business in the category of
Thai Securities Companies President of the Association of Investment Management Companies Managers All securities companies All securities companies licensed to undertake securities business in the
the approval of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification, “securities company” means a company licensed to undertake securities
Commission Notification of the Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33
of the Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33 and Section 34(2
Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33 and Section 34(2) of the
exchange” means a person licensed to undertake business as derivatives exchange; (2) “derivatives clearing house” means a person licensed to undertake business as derivatives clearing house; (3) “director