securities companies licensed to undertake securities business in the category of mutual fund management All securities companies licensed to undertake securities business in the category of securities
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
Commission B.E. 2535 (1992) are: 1. Juristic person licensed to undertake securities business in the category of investment advisory services under the Ministerial Regulation concerning the undertaking of
.: _________________________ 15) Is the CIS Operator currently licensed/ authorised/ approved by its Home Regulator to conduct the activities as specified by section 56 of the Passport Rules (Annex 3) of the MOC? Yes No If “No
.: _____________________________ Fax No.: _________________________ 15) Is the CIS Operator currently licensed/ authorised/ approved by its Home Regulator to conduct the activities as specified by section 56 of the Passport Rules
.: _____________________________ Fax No.: ___________________________ 11) Is the Hong Kong Covered Management Company currently licensed by/registered with the Securities and Futures Commission of Hong Kong to conduct the
.: ___________________________ 11) Is the Hong Kong Covered Management Company currently licensed by/registered with the Securities and Futures Commission of Hong Kong to conduct the activities as specified by section 8 of Annex
Clause 12, Clause 15 and Clause 26 of the Notification of the Capital Market Supervisory Board No. TorThor. 80/2552 Re: Rules on Undertaking of Derivatives Business for Licensed Derivatives Brokers dated 3
, Clause 15 and Clause 26 of the Notification of the Capital Market Supervisory Board No. TorThor. 80/2552 Re: Rules on Undertaking of Derivatives Business for Licensed Derivatives Brokers dated 3 August