Intermediary _____________________________ By virtue of Clause 5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement
Notification of the Office of Securities and Exchange Commission No. SorThor. 7/2557 Re: Rules on Appointing Independent Director of an Intermediary _____________________________ By virtue of Clause
Office of the Securities and Exchange Commission Governing Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds B.E.2551
of the Securities and Exchange Commission Governing Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds B.E.2551 (2008
ระหว่างเครือข่าย เช่น จัดให้มี Virtual Private Network (VPN) เป็นต้น ( มีการกำหนดแนวทางปฏิบัติ กรณีที่ใช้บริการระบบเครือข่ายภายนอกบริษัท https://publish.sec.or.th/nrs/6362p.doc -ร่าง- maturity; (4
: “intermediary” means a securities company or a derivatives intermediary; “fund management company” means a securities company licensed to undertake securities business in the category of mutual fund or private
, the SEC allows issuer and intermediary to offer for sale of complex or high risk financial instruments to AI. However, certain products permissible for AI are allowed to offer to retail investors
Establishment of Mutual Funds and Execution of Agreements for Establishment of Mutual Funds and Execution of Agreements for Management of Private Funds (No. 2)
Rules on Exemption of Trust Certificates Issued by Private Equity Trust from the Provisions regarding Offering for Sale of Securities to Public