Notification of the Office of the Securities and Exchange Commission No. SorNor. 62/2543 Re: Rules, Conditions and Procedures for Advertising of Securities Company Business for Sales Promotion and Providing of
. Thirachai Phuvanatnaranubala) Secretary-General The Office of the Securities and Exchange Commission Remark: The reason for issuing this Notification is to ensure that the securities company has prepared for
of the Securities and Exchange Commission No. SorNor. 5/2550 Re: Establishment of a Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours
Exchange Commission. Clause 3. For a private fund management company which has a license to conduct another securities business, if the company has been permitted by the Office to establish a full-service
company or private fund management company; (5) “Mutual fund management company” means any securities company licensed to undertake securities business in the category of mutual fund management; (6
positions, who are responsible for the asset custody function https://publish.sec.or.th/nrs/2095pe.doc Translation or a group of persons who authorized a management company to manage a private fund; “Liquid
” means any securities clearing house under the Securities and Exchange Act. “institutional investor” means any investor which is a financial institution under the Commercial Banking Act, securities company
Investors and Private Funds ___________________________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008