UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand can neither undertake
of China and Thailand (HK-TH MRF). “management company” means a securities company licensed to undertake securities business in the category of mutual fund management. “MoU” means the Memorandum of
. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ------------------------- Notification of the
securities and derivative business by which many of investors has been victimized, the SEC wishes to notify that legitimate businesses are required to receive license to undertake securities business or
misconduct related to the offences of the investment consultants. Following an inspection report of {X1}, which is licensed to undertake securities business in the category of limited brokerage, dealing and
constructive competition that allows greater opportunities for intermediaries to undertake more varieties of businesses, while welcoming newcomers and advanced technology to serve investors? increasing demands
concerning Rules on Offering for Sale of Units of Foreign Collective Investment Schemes ; “ intermediary ” means: (1) a securities company licensed to undertake the securities business in the category of
Offering for Sale of Units of Foreign Collective Investment Schemes; “intermediary” means: (1) a securities company licensed to undertake the securities business in the category of securities brokerage
is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss of damages arising from or related to its use